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Full text of "University of Massachusetts Board of Trustees records, 1836-2010"

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UNIVERSITY OF MASSACHUSETTS 
COMMITTEE/BOARD MINUTES 1997 

ADMINISTRATIVE REDESIGN 

1 . October 7, 1 997 UMASS Amherst 

2. November 18, 1997 1 Beacon St, Boston, MA 

3. December 15, 1997 1 Beacon St, Boston, MA 

ALCOHOL POLICY 

1. November 18, 1997 1 Beacon St, Boston, MA 

NOMINATING COMMITTEE 

1 . June 30, 1997 Boston Marriott Hotel, Newton, MA 

2. July 15, 1997 Boston Marriott Hotel, Newton, MA 

FINANCIAL INDICATORS 

1 . May 29, 1 997 1 8 Tremont St, Boston, MA 

ADMINISTRATION & FINANCE 

1 . January 22, 1 997 1 8 Tremont St, Boston, MA 

2. March 18, 1997 18 Tremont St, Boston, MA 

3 . May 29, 1 997 1 8 Tremont St, Boston, MA 

4. July 30, 1997 1 8 Tremont St, Boston, MA 

5. October 1, 1997 UMASS Boston 

6. November 18, 1997 1 Beacon St, Boston, MA 

ATHLETICS COMMITTEE 

1 . October 7, 1 997 UMASS Amherst 

AUDIT COMMITTEE 

1 . January 7, 1 997 UMASS Worcester 

2. March 18, 1997 18 Tremont St, Boston, MA 

3. July 8, 1997 UMASS Worcester 

4. September 1 7, 1 997 1 8 Tremont St, Boston, MA 

5. November 18, 1997 1 Beacon St, Boston, MA 

BOARD OF TRUSTEES 

1 . February 5, 1997 UMASS Boston 

2. February 12, 1997 UMASS Worcester 

3. April 2, 1997 18 Tremont St, Boston, MA 

4. June 4, 1997 UMASS Dartmouth 

5. August 6, 1997 UMASS Lowell 

6. October 8, 1997 UMASS Amherst 

7. December 3, 1997 UMASS Worcester 



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ACADEMIC AND STUDENT AFFAIRS 

1 . January 28, 1 997 1 8 Tremont St, Boston, MA 

2. March 25, 1997 1 8 Tremont St, Boston, MA 

3 . May 28, 1 997 1 8 Tremont St, Boston, MA 

4. July 29, 1997 1 8 Tremont St, Boston, MA 

5. September 30, 1997 UMASS Boston 

6. November 18, 1997 1 Beacon St, Boston, MA 

7. November 18, 1997 with A&F 1 Beacon St, Boston, MA 

COMMITTEE OF THE WHOLE 

1 . February 4, 1 997 UMASS Boston 

2. June 3, 1997 706 South Rodney French Blvd, New Bedford, MA 

3. August 5, 1997 Sheraton Inn, Lowell, MA 

4. October 7, 1997 UMASS Amherst 

5. December 2, 1997 UMASS Worcester 

DEVELOPMENT 

1 . June 3, 1997 706 South Rodney French Blvd, New Bedford, MA 

2. April 23, 1997 18 Tremont St, Boston, MA 

3. August 5, 1997 Sheraton Inn, Lowell, MA 

4. November 13, 1997 1 Beacon St, Boston, MA 

INVESTMENTS, COMMERCIAL VENTURE, AND INTELLECTUAL PROPERTY 

1 . March 1 1 , 1 997 1 8 Tremont St, Boston, MA 

2. July 30, 1997 1 8 Tremont St, Boston, MA 

FINANCIAL INDICATORS 

1 . May 29, 1 997 1 8 Tremont St, Boston, MA 

2. July 30, 1997 1 8 Tremont St, Boston, MA 



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UNIVERSITY OF MASSACHUSETTS 

COMMITTEE/BOARD MEETINGS 

1997 MINUTES 



ADMINISTRATION & FINANCE 

ATHLETICS COMMITTEE 

AUDIT COMMITTEE 

BOARD OF TRUSTEES 

COMMITTEE ON ACADEMIC & STUDENT AFFAIRS 

COMMITTEE OF THE WHOLE 

DEVELOPMENT COMMITTEE 

INVESTMENT SUBCOMMITTEE 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
ADMINISTRATIVE REDESIGN COMMITTEE 

Tuesday, October 7, 1997; 12:00 Noon 

Concourse Room 

First Floor, Mullins Center 

University of Massachusetts 

Amherst, Massachusetts 

Committee and Committee Staff : Chair Giblin; Trustees Haynes, Karam, Mihos, Naughton and 
Tirrell 

Committee Members Absent : Trustees Carpenter, Fey, Kraft, Mahoney and O'Leary 

Other Trustees : Trustees Bogan and Tremblay 

University Administration : President Bulger; Vice President & General Counsel Kirby; Vice 
President Botman; Chancellors Cressy, Hogan, Lazare, Penney and Scott 

Guests : Ms. Alceste Pappas, Pappas Consulting Group 

Chair Giblin convened the meeting at 12:15 p.m. The first item on the agenda was Approval of 
Administrative Redesign Performance Measures . Ms. Pappas reported that there had been lengthy 
discussions between members of the Pappas Consulting Group with Vice President Lenhardt and the 
Vice Chancellors for Administration and Finance to review the concerns of the Administrative 
Redesign Steering Committee. As a result of these discussions, a set of the revised Outcome 
Measures were sent to members of this Committee for their review. 

Ms. Pappas then reported on Outcome Measure Number 2 which has been revised to reflect more 
accurately the strategic agenda of each of the campuses. The target has been reset to a 5% reduction 
in the percentage of expenditures allocated to administrative services, rather than 10% due to the fact 
that the campuses have plans to reinvest cost savings in administrative student support services. The 
5% will be based on the expenditure structure of the campus rather than on a cost per student basis. 
This will avoid the student FTE versus headcount issue. 

Outcome measure Number 5 was replaced with a better assessment outcome of administrative 
redesign. The measuring of the reallocation of resources to the academic core will now be measuring 
dollars reinvested into strategic initiatives of each of the campuses. 

Ms. Pappas went on to report on the debate over using standardized satisfaction surveys versus 
the campuses designing their own satisfaction survey. A consensus was reached to use the NACUBO 
surveys. In addition, specific percentage targets of satisfaction will be decided after the baseline data 
has been established. 

A discussion on the Outcome Measures ensued focusing on Number 2 and the intent to reduce 
the total percentage of expenditures allocated to the three expenditure categories by 5%. Chair 
Karam expressed the hope that we all embrace restructuring and made a motion that we approve 
Outcome Measures as presented to the Committee. 



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Administrative Redesign Committee 
October 7, 1997 

Discussion continued as Trustee Haynes questioned the rationale for the numbers at each 
campus. Chair Giblin expressed the Committee's willingness to reevaluate as the outcomes progress. 
Ms. Pappas commented that the measures would be integrated with academic restructuring and will 
be revised accordingly. 

President Bulger stressed his desire to revisit these measures over time to chart their progress and 
noted that he is aware of the uniqueness at each campus. Additional discussion focused on the 
strategic initiatives within administrative services would not be reduced. Chair Karam asked that we 
begin to use the initiatives and produce results. 

Trustee Haynes asked that we find a way to reduce administrative costs without affecting the 
workers. 

The motion was seconded and 

VOTED : To approve the recommendations presented by the Administrative Redesign 
Committee approving the Outcome Measures. 

The next item on the agenda was Management/Labor Summit Design Team . Vice President 
Botman reported that one of the goals of the administrative redesign process is to improve the 
working environment. A task force has been formed chaired by Chancellor Lazare and Deputy 
Chancellor MacCormack working to organize a labor summit. The Chancellors will be asked to form 
a design team to work on the details. 

Trustee Haynes then reported on a meeting that had been held on the Boston campus with the 
leadership of all campus unions. Two of the unions didn't make it to the meeting. He reported that 
there had been very good discussion about several issues. There will be another meeting scheduled 
before the summit. 

Trustee Haynes further reported that the most important item of discussion was to let the 
Chancellors and members of management know that it is critical to recognize the union management 
on the campuses. Vice President Botman thanked Trustee Haynes for his leadership role on the 
Board. Committee members inquired as to how they can be of help. Trustee Haynes responded that 
the Trustees will be invited to the next meeting as it would be helpful for the Board to hear the 
concerns of the unions. 

Chair Karam asked the campuses to continue to communicate and collaborate with campus 
union management. 

Vice President Botman asked the Chancellors to submit one name from each campus to her or 
Vice President Lenhardt to be a member of the planning Committee for the summit. Trustee Haynes 
planned to submit five names. There was a request that a date for the summit be worked out as soon 
as possible. 

Ms. Pappas then reported that the Chancellors have received an update on the Technology 
Planning Report on the future in administrative technology. From October 29 to November 4, two 
outside experts will be working with the campuses. 

There being no further business to come before the Committee, the meeting was adjourned at 1:50 
p.m. f 



Barbara F. DeVico 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
ADMINISTRATIVE REDESIGN COMMITTEE 

Tuesday, November 18, 1997; 9:00 a.m. 

One Beacon Street, 26th Floor 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Giblin, Trustees Haynes, Karam, Kraft and Naughton 

Committee Members Absent : Trustees Carpenter, Fey, Mahoney, Mihos, O'Leary and Tirrell 

University Administration : President Bulger; Vice President Lenhardt; Chancellors Penney, 
Hogan and Lazare; Mr. Randy Bell; Deputy Chancellor Williams 

Chair Giblin convened the meeting at 9:17 a.m. and asked Mr. Bell to report on the "Next 
Steps" that will move ahead the technology planning process. The Steering Committee led by 
Chancellor Hogan has reviewed the consultant's report. A transition plan is needed to provide 
support for current systems in place which will provide a smooth transition to the new 
environment. 

Mr. Bell also reported that a single software vendor for student financial/human resource 
applications needs to be agreed on and announced. A Forum should be put in place among the 
campuses to study inter-campus collaboration which should include members of the President's 
Office. A system-wide plan for capital funding will be looked into by a planning group. 

The President's Office needs to define its information architecture, design its new 
environment for technology support for their responsibilities and re-design its technology area 
which provides corporate services such as the payroll function. 

Chair Giblin thanked Mr. Bell for his report and reported the process is moving on 
schedule. 

There being no further business to come before the Committee the meeting was adjourned at 
10:00 a.m. * 




av- ^ ■ \jq^JZcu} 



n 

Barbara F. DeVico 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
ADMINISTRATIVE REDESIGN COMMITTEE 

Monday, December 15, 1997; 12:30 pjn. 

One Beacon Street, 26th Floor 

Knapp Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Giblin, Trustees Fey, Karam, and Mihos 

Committee Members Absent : Trustees Carpenter, Haynes, Kraft, Mahoney, Naughton, O'Leary 
and Tirrell 

University Administration : Vice President Lenhardt; Attorney Haskell; Chancellors Penney, 
and Hogan ; Mr. Randy Bell; Deputy Chancellor Williams 

Chair Giblin convened the meeting at 12:30 p.m. and introduced the first discussion item on 
the agenda, Information Technology. Chair Giblin stated that the Subcommittee on 
Information Technology was instrumental in making significant progress toward the realization 
of the project. He referred to the document of July 23, 1997: A study of the Current Status of 
Information Technology at the University. Chair Giblin commented on the Committee's need to 
determine a broad policy for the Trustees, about which the Board should be concerned, and its 
principal obligations relative to the project. 

Mr. Bell provided a synopsis of the current status of information technology. He identified 
the major elements of the project: confirmation of a single software application vendor; 
preparation of forms for collaboration between the campuses; a review of capital funding for 
the new technology; development of strategies and specific responsibilities for the President's 
Office and for each campus; and lastly, planning for the transition period as the technology 
arrives on the campuses. 

Mr. Bell reported on the Future Role for Trustees: assist with the University's 
understanding of technology's potential for administrative effectiveness, establish 
administrative technology as a separate organizational function, establish performance 
reporting mechanisms to monitor and evaluate the University-wide^chievement of the 
recommended framework. He suggested that the Trustees ensure on-going feedback on the new 
technology and its effectiveness. 

Chancellor Hogan commented on the complexity of the transition process, and emphasized 
the importance of maintaining stability during this period. As there are limitations involved, 
the details of the project should be determined by the President's Office to ensure universality 
of the technology. 

There being no further business to come before the Committee the meeting was adjourned at 

7/' CUl#U £« (j£r^0Lu^ 



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JoAnn E. Conley ^ 



Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ALCOHOL POLICY 

Tuesday, November 18, 1997; 9:00 a.m. 

Wood Room 

One Beacon Street, 26th Floor 

University of Massachusetts 

Boston, Massachusetts 



Committee and Committee Staff: Chair Karam; Trustees Dubilo, Lewenberg, Murray, Osterhaus, 
Tirrell 

University Administration: Vice President Botman; Vice President and General Counsel Kirby; 
Executive Vice President Julian; Associate Vice President Lemanski 

Trustee Dubilo convened the meeting at 9:00 a.m. He proposed an open discussion on the system- 
wide alcohol policy. He stressed the importance of involvement from all students and members of 
student government in regard to this proposal. 

Vice President Botman remarked that the purpose of the alcohol policy is to create a system- 
wide document; she asked that the Chancellors of the University review the procedures of their 
respective campuses, and convey these procedures to the President. The purpose of writing a new 
alcohol policy is not to list each campus procedure, but to achieve consistency. She noted that the 
President's guidelines for the campuses are to underscore the importance of education on the campuses, 
adhere to federal and state laws and thirdly, to ask the campuses not to advertise alcoholic beverages. 

Chair Karam focused his initial remarks on the UMASS Amherst campus. While UMASS 
Amherst is going through a review, he expressed some concerns about the campus because of its size. He 
mentioned the Board's involvement on decisions regarding housing policies and accommodations for 
underclassmen; he asked for input as to how the Board would convey a message to the student body on a 
particular campus. 

Trustee Osterhaus is in favor of the reaffirmation of the policy, as it is very rational. 
Enforcement of the policy is vital; it is important to establish the implementation of goals when the 
policy is in place. She mentioned her concern regarding the accountability of the campuses to this 
policy; the Board is then liable for the implementation of this policy on the five campuses. 

Trustee Lewenberg asked how this policy differs from what the University has in place now. 
Vice President Kirby noted that the Board policies are the campus procedures for alcohol. This policy 
will be broader and campus procedures will be kept on file with the President. Trustee Lewenberg 
commented on the direction given to the campuses that should entail a student-involved process to come 
up with specific policies; the policy will not be meaningful and effective unless there is student 
participation. He stated that the basis of the policy is to adhere to the law; the specifics will depend 
on the size of the campus and the residential realities. 



Trustee Dubilo remarked that Chancellors should sit down with student representatives and 
™ faculty to coordinate a specific policy. 

Trustee Murray mentioned the UMASS Boston campus and its unique status as a commuter 
campus. As there are no dorms and alcohol is not served on campus, there is no drinking on campus. 

Specific to UMASS Amherst, Trustee Lewenberg asked how the Board deals with established 
national social groups on campuses, like sororities and fraternities. He asked if the Board has an 
obligation to monitor this area of student life at the University. Vice President Kirby noted that these 
organizations, although independent, are recognized on campus through the office of student affairs. 

Trustee Lewenberg inquired about the implications of advertisement and promotion of alcoholic 
beverages on the campuses, through student newspapers, liquor distributors, etc. 

Following this discussion, it was moved, seconded and 

VOTED: To recommend that the Committee on Academic and Student Affairs take the 

following action: 

To approve the University of Massachusetts Policy on Alcohol, as set forth in 
Doc. T97- 112, and to authorize and direct the President, in consultation with 
the Chancellors, to issue guidelines to implement the Policy. To the extent that 
any provisions in the campus alcoholic beverages policies (Doc. T93 - 116 and 
T93-016) are inconsistent with this policy, such inconsistent provisions are 
repealed. 

W There being no further business to come before the Committee, the meeting adjourned at 9:55 a.m. 




JoAnn E. Conley 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
NOMINATING COMMITTEE 

Monday June 30, 1997; 4:00 p.m. 

Cape Cod Room 

Boston Marriott Newton Hotel 

2345 Commonwealth Avenue 

Newton, Massachusetts 

Committee Members : Chair Giblin; Trustees Bissonnette, Flores, Karam and Mihos 

Committee Member Absent : Trustee Fey 

The Nominating Committee convened at 4:00 p.m. 

The Committee members discussed how to proceed with contacting other Trustees for input 
before a final recommendation and report is forwarded to the Board. 

There was also a general discussion on Board and Committee structure including 
preliminary discussion concerning an ad hoc committee on academic restructuring. 

There being no further business, the Committee adjourned at 5:30 p.m. 



William E. Giblin 
Chair 



Nominating Committee 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
NOMINATING COMMITTEE 

Tuesday, July 15, 1997; 4:00 p.m. 

Cape Cod Room 

Boston Marriott Newton Hotel 

2345 Commonwealth Avenue 

Newton, Massachusetts 

Committee Members : Chair Giblin; Trustees Bissonnette, Fey, Flores, and Mihos 

The Nominating Committee convened at 4:00 p.m. 

The members reported on their discussion with individual Trustees. Following discussion it 
was moved that the Committee recommend the following slate of nominees to the Board: 

To confirm and approve the Officers and Committee Chairs of the Board set forth in Doc. 
T97-075, all to serve until the next annual meeting of the Board. 

Chair Robert S. Karam 

Vice Chair Michael T. Foley, M.D. 

Vice Chair Robert J. Haynes 

Chair, Academic and Student Affairs Diane E. Bissonnette 

Vice Chair, Academic and Student Affairs John M. Naughton 

Chair, Administration and Finance Grace K. Fey 

Vice Chair, Administration and Finance Peter J. Berlandi 

Chair, Audit John M. Naughton 

Vice Chair, Audit William E. Giblin 

Chair, Athletic Daniel E. Bogan 

Vice Chair, Athletic Christy P. Mihos 

Chair, Development Charles J. Hoff 

Vice Chair, Development Robert M. Mahoney 

Chair, Administrative Redesign William E. Giblin 

Chair, Personnel and Diversity Heriberto Flores 

Vice Chair, Personnel and Diversity Christy P. Mihos 

Secretary Barbara F. DeVico 

There being no further business, the Committee adjourned at 5:30 p.m. 

William E. Giblin 

Chair 

Nominating Committee 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
SUBCOMMITTEE ON FINANCIAL INDICATORS 

Thursday, May 29, 1997; 11:00 a.m. ^ 

Board Room 
18 Tremont Street, Suite 800 
Boston, Massachusetts 

Committee Members : Chair Fey, Trustees Karam, Mihos and Naughton 

Committee Member Absent : Trustee O'Leary 

Other Trustees : Trustee Giblin 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice 
President Lenhardt, Chancellors Penney and Hogan; Deputy Chancellor MacCormack; Vice 
Chancellor Goodwin; Ms. Wanczyk, University Controller; Ms. Uber, Budget Director 

Chair Fey convened the meeting at 11:05 a.m. and called on Vice President Lenhardt who 
reported that this meeting is the first time the campuses will be asked to discuss their 
financial targets/indicators. Each of the Chancellors have been asked to report on their 
targets; today's meeting will focus on Boston and Lowell. 

Chancellor Penney reported for the Boston campus. Their financial indicators show the 
financial health and stability of the institution, a focus on the short term, some on the long 
term, and are used to look at the financial condition in relation to the past and the future. 
These indicators will help to set targets for the future and they help the campus relate to its 
peers. Some of the questions asked included: did we bring in more money than we spent, do we 
have reserve funds to cushion us for a rainy day, do we have enough cash to pay short term 
obligations, how much of our annual budget is used to pay long term debt and how large is or 
endowment base? 

Chancellor Penney then reviewed a series of charts she had distributed showing the 
campus' five-year targets. The Operating Margin target is 2.50% which is a reachable target. 
The Financial Cushion Target is 4.00%, the Current Ratio, 1.8 to 1, Debt Service to Operations is 
at 2.50% and Endowment Per Student is projected at $2000. The financial indicator trends show 
steady improvement and the projections are reasonable. 

A key issue for the Boston campus is that they can build reserves from only one source of 
income. Grants and Contracts, the state maintenance appropriation and the state tuition 
revenue must be subtracted from the current funds revenues. The percent of total current funds 
revenue with capacity to generate fund balance is only 24.31%. 

With regards to peers, there is only one peer that is anything like the Boston campus, 
George Mason. 

Chancellor Hogan then presented the Lowell campus' financial outlook including: 

1. Enrollment projections for annual increases of less than 1% through the year 2004; 



Subcommittee on Financial Indicators 
May 29, 1997 

2. All collective bargaining salary increases provided by the state; 

i 

3. The purchasing power of approximately $30,000,000 of non personnel funds in the "core" 

education budget protected from erosion due to inflation by an increase in the State 
appropriation, privately raised funds without a specifically designated use or earned 
income from such funds, an increase in student fees and no other increase in State 
appropriation. 

Chancellor Hogan then reviewed a chart of reallocated funds and "The Six Lowell Projects" 
including the updating of the library and new technology issues such as replacing equipment. 

Chancellor Hogan reported that the Lowell campus does not have meaningful data for peer 
comparison. A new set of proposed peers has been selected and there has been contact made 
with these institutions about obtaining the necessary financial information and data. 

Chair Karam and the Committee members then discussed the goals the financial indicators 
help to outline and the need to select peers that will help with setting reasonable goals and 
targets. 

Vice President Lenhardt reported that the meeting would report on the Financial 
Indicators for the Amherst and Dartmouth campuses. 

There being no further business the meeting was adjourned at 12:15 p.m. 

r 

Barbara F. DeVico 
^ Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BO STON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Wednesday, January 22, 1997; 9:00 a jn. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Vice Chair Fey; Trustees Andriolo, Arciero, 
Carter, Croft, Giblin, Haynes, Karam, Lewenberg, Mihos and Naughton 

Committee Members Absent: Trustees Bogan, Flores, Foley, Hoff and O'Leary 

University Administration : President Bulger; General Counsel Kirby; Vice President Lenhardt; 
Chancellors Penney and Hogan; Deputy Chancellor Stanton; Vice Chancellors Page, Dars and 
Goodwin 

Faculty Representatives : Professors Knight, May and Phelan 

Chair Spence convened the meeting at 9:04 a.m. and began by indicating that FY98 Tuition 
and Fee Rates would be the first item on the agenda and called on the President to present this 
item. President Bulger stated his support of the initiatives to reduce tuition which is reflected 
* in today's vote and voiced his thanks to Vice President Lenhardt for his efforts in this area. 

Vice President Lenhardt then directed the Committee members to the FY1997 Budget 
Presentation handout distributed which listed the student charge trends for FY92-98, the FY98 
proposed rates, the increase in the Massachusetts Public Higher Education System from FY93- 
97 and the increase in selected public universities, FY93-97. He also discussed the tuition and 
fee rates (FY92-1998) and the average tuition and fee increases for in-state undergraduates 
(FY93-98). 

He stressed to the Committee the policy of the University for the last four years which 
was to make sure student charges were not set based on the need to make up for revenue but were 
based on the rate of inflation or slightly under inflation rate. The Committee is being asked to 
approve the total maximum combined mandatory charges; individual fee rates would be 
approved by the President no later than April and room and board charges will be presented to 
the Board for approval in April; fee-based budgets will be presented to the Board in June. This 
revised approach will allow the Trustees to focus on the policy issues related to total student 
charges. 

Vice President Lenhardt pointed out that we are raising student fees from to 2.4 % and the 
change in total mandatory student charges ranges from -2% to +2.5%. Trustee Carter remarked 
that while the University has tried for the past four-five years to keep charges stable, 
compared to our peer institutions, the Amherst campus is still the second most expensive. 

The Committee then engaged in a lengthy discussion involving tuition and fees and the 
importance of supporting the President's decision which looks forward to a long-term plan of 
stability while building quality and access at the University. There was also discussion about 
the immense need for the campuses to update their technology and the deferred maintenance 
needs. 

Chair Karam stressed the need to stay on top of the University's deferred needs and noted 
that if there are excess revenues they should be consolidated to meet common goals such as 



Committee on Administration and Finance 
January 22, 1997 



technology and distance learning. It was also suggested that the University become more 
recognizable as a quality institution and that we offer additional financial aid to make the 
University accessible to students looking for a quality education. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS, consistent with the December 4, 1996 vote of the Board of Trustees, 
the President is recommending specific student charges for Academic Year 1997- 
98 providing for an average overall 5% reduction in in-state undergraduate 
tuition rates across the campuses with the focus on the need to provide access to 
higher education, 

NOW THEREFORE, in accordance with Section 1A of Chapter 75 with Section 
9 (i) of Chapter 15A of the General Laws, to recommend to the Board of Higher 
Education that the tuition for the University campuses for Academic Year 1997- 
1998 shall be as follows: 



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Tuition: 



AMHERST 




Undergraduate (resident) 


$2,004.00 


Undergraduate (non-resident) 


$8,952.00 


Graduate (resident) 


$2,640.00 


Graduate (non-resident) 


$8,952.00 


BOSTON 




Undergraduate (resident) 


$2,004.00 


Undergraduate (non-resident) 


$8,842.00 j 


Graduate (resident) 


$2,640.00 


Graduate (non-resident) 


$8,842.00 


DARTMOUTH 




Undergraduate (resident) 


$1,657.00 


Undergraduate (non-resident) 


$7,192.00 


Graduate (resident) 


$2,071.00 


Graduate (non-resident) 


$7,192.00 


LOWELL 




Undergraduate (resident) 


$1,700.00 


Undergraduate (non-resident) 


$7,347.00 


Graduate (resident) 


$2,147.00 


Graduate (non-resident) 


$7,347.00 


WORCESTER 




Medical (resident) 


$8,352.00 


Medical (non-resident) 


N/A 


Graduate (resident) 


$2,640.00 


Graduate (non-resident) 


$8,952.00 



And further, in accordance with Section 1A of Chapter 75 of the General Laws, 
to establish and approve the total combined mandatory fees at the following 
rates: 



Mandatory Fees: 




AMHERST 




Undergraduate (resident) 


$3,328.00 


Undergraduate (non-resident) 


$3,390.00 


Graduate (resident) 


$2,856.00 



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Committee on Administration and Finance 
January 22, 1997 



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Graduate (non-resident) 


$2,916.00 


BOSTON 




Undergraduate (resident) 


$2,288.00 


Undergraduate (non-resident) 


$2,288.00 


Graduate (resident) 


$2,300.00 


Graduate (non-resident) 


$2,300.00 


DARTMOUTH 




Undergraduate (resident) 


$2,597.00 


Undergraduate (non-resident) 


$3,783.00 


Graduate (resident) 


$2,768.00 


Graduate (non-resident) 


$3,783.00 


LOWELL 




Undergraduate (resident) 


$2,722.00 


Undergraduate (non-resident) 


$2,722.00 


Graduate (resident) 


$2,722.00 


Graduate (non-resident) 


$2,722.00 


WORCESTER 




Medical (1st and 2nd year) 


$1,835.00 


Medical (3rd and 4th year) 


$1,835.00 


Graduate School of Nursing 


$1,885.00 


Graduate School of Biomedical Sciences 


$805.00 



And further, in accordance with Section 1A of Chapter 75 of the General Laws, 
to establish and approve the total combined tuition and mandatory fees at the 
following maximum rates: 



• 



Combined Tuition and Mandatory Fees: 




AMHERST 




Undergraduate (resident) 


$5,332.00 


Undergraduate (non-resident) 


$12,342.00 


Graduate (resident) 


$5,496.00 


Graduate (non-resident) 


$11,868.00 


BOSTON 




Undergraduate (resident) 


$4,292.00 


Undergraduate (non-resident) 


$11,130.00 


Graduate (resident) 


$4,940.00 


Graduate (non-resident) 


$11,142.00 


DARTMOUTH 




Undergraduate (resident) 


$4,254.00 


Undergraduate (non-resident) 


$10,975.00 


Graduate (resident) 


$4,839.00 


Graduate (non-resident) 


$10,975.00 


LOWELL 




Undergraduate (resident) 


$4,422.00 


Undergraduate (non-resident) 


$10,069.00 


Graduate (resident) 


$4,869.00 


Graduate (non-resident) 


$10,069.00 


WORCESTER 




Medical (1st and 2nd year) 


$10,187.00 


Medical (3rd and 4th year) 


$10,187.00 


Graduate School of Nursing (resident) 


$4,525.00 


Graduate School of Biomedical Sciences (non-resident) 


$3,445.00 


Graduate School of Nursing (resident) 


$10,837.00 


Graduate School of Biomedical Sciences (non-resident) 


$9,757.00 



-3- 



Committee on Administration and Finance 
January 22, 1997 



And further, to authorize the President to approve, no later than April 5, 1997, 
individual fee rates for mandatory fees, providing that total tuition and 
mandatory charges to students shall not exceed the combined tuition and 
mandatory fee rates as outlined above. 

Further, the President shall submit budgets for all student fees for approval by 
the Board no later than June 30, 1997. 

Trustee Croft requested that information pertaining to the fee-related budgets expected to 
come before the Board in June be made available before action is taken and justification as to 
why the Board raises fees. Members of the Committee then expressed the view that they are 
an oversight Board and that as a student, Trustee Croft should seek that information from his 
campus. 

The next item was the University Travel Policy . Vice President Lenhardt reported that 
revisions have been made to the travel policy changing the format with less detail. A general 
set of guidelines will be issued by the President to provide guidance for the campuses who will 
issue standard campus procedures for implementation of this policy. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

To rescind the Employee Travel Policy and Guidelines in Appendix B of Doc. 
T92-031 as revised on June 7, 1995, and adopt in place thereof the Travel Policy 
designated as "Amendment No. 3". Further, to require the President to file 
copies of all guidelines, and requirements adopted pursuant to said Travel 
Policy with the Secretary of the Board of Trustees before such guidelines 
become effective. 

The next item was Policy Statement on Electronic Data Security, Electronic Mail and 
Computer Policy Development . Vice President Lenhardt reported that Deputy Chancellor 
Williams from the Amherst campus chaired the Policy Subcommittee of the Information 
Technology Council, which worked on a policy for issues related to information technology. He 
also mentioned that there had been a short presentation before the meeting that demonstrated 
the means for students from the Boston and Amherst campuses to enter the World Wide Web 
and look up their grades and course schedules. It is expected that Dartmouth and Lowell will 
have this service available in the future. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the Policy Statement on Data Security, Electronic Mail, and 
Computer Policy Development as contained in Doc. T97-010, provided, that all 
policies or guidelines adopted pursuant to said Policy Statement shall be filed 
with the Secretary of the Board of Trustees before becoming effective. 

The next item was Delegations of Authority to University Treasurer. Vice President 
Lenhardt informed the Committee that these delegations are intended to clarify the authority 
of the Treasurer. With the exception of the tax matters all the delegations currently exist. 



f 



Committee on Administration and Finance 
January 22, 1997 



It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To affirm that the Treasurer of the University of Massachusetts shall, in the 
absence of particular delegations to the contrary and under the general 
oversight of the President, be the general contracting officer of the University, 
with authority to delegate such capacity to an employee of the University as 
he deems appropriate, and shall have particular responsibility for the 
following: 

1 . Custody and fiduciary responsibility of the University's endowment funds 

2. Investment of University cash in accordance with the Trustee approved 
Investment Policy 

3. Acquisition of and sale of real estate on behalf of the University 

4. Financial relationship with the University of Massachusetts Building 
Authority 

5. Official signatory for University checks 

6. University banking relationships including control of opening and closing 
bank accounts 

7. Fire, casualty and liability insurance 

8. Optional employee benefits including 403(b) and deferred compensation 
programs 

9. Contract and grant signatory 

10. Tax Matters 

Further, to affirm that, except as to matters governed by the University of 
Massachusetts Intellectual Property Policy (Doc. T96-040), the Treasurer of the 
University of Massachusetts or his designee shall be the sole contracting officer 
of the University with the authority to execute all contracts, grants, restricted 
gifts (excluding endowments), and amendments thereto for sponsored programs 
in instruction, research, or public service, unless and until otherwise voted by 
the Board of Trustees. 

And further, to authorize the Treasurer or his designee to invest and reinvest 
surplus cash of the University of Massachusetts as directed by the Investment 
Policy; to sell securities received by the University or in the name of the 
Trustees of the University regardless of value, depositing the proceeds to 
appropriate accounts; to make deposits in and withdrawals from the accounts in 
the name of the University; and sign or endorse in the name of the University 
official documents and vouchers, including checks, drafts, letters of credit, 
certificates of deposit and withdrawal orders as require the signature of the 
financial officer of the University. 



-5- 



Committee on Administration and Finance 
January 22, 1997 



Vice President Lenhardt then introduced Ms. Uber, University Budget Director, to give the 
annual FY1997 Budget Presentation . Ms. Uber first reported on historical trends for state 
support: there has been a $104M increase from FY92-97. When adjusted for inflation, the 
increase over this time is $59M. With five years of steady increases in state support, total 
funding now exceeds FY88 levels. The University request for FY98 is $29M, a 7.7% increase. 

She reported that enrollment figures have been relatively stable in the last three years 
and a slight increase from last year. The actual number of enrollments for Fall, 1996 were 43,290 
compared to Operating Budget projections of 43,163. As far as personnel there has been an 
increase of 142 employees (1.7%), FY92-97 which was made possible by increased state support. 
The number of overall employees is well below the FY88 benchmark. 

Ms. Uber then reported on the revenue and expense projections, FY92-2002 and indicated 
that updated financial indicators which will be available in April, which provide campus 
perspectives on the financial conditions and goals. She then presented several models focusing 
on revenue assumptions and revenue /expense projections and discussed future operational 
pressures such as wage increases, capital investments, information technology needs and unmet 
financial needs. Some of the methods to take into consideration to cope with these pressures 
will involve early retirement, administrative redesign initiatives, academic program review 
and other campus reallocation efforts. 

Chair Karam then suggested that we work on models over the next six months projecting 
and setting goals. Trustee Fey reminded the Committee that the inflationary rate is low right 
now and that the impact on a higher rate should be taken into consideration when projecting 
future models. Trustee Lewenberg suggested small working groups be formed to study future 
models. 

The next item was Campus Center and Future Increase in O perating Fee, University of 
Massachusetts Lowell . Chancellor Hogan reported that the need for a Campus Center on the 
Lowell campus was approved by the DCPO in a Campus Master Plan developed by Sasaki 
Association in the mid 1980's and again by a study of the Lowell campus by former Trustee 
Derek Bok in 1994. The campus is now ready to proceed with the proposal for the design and 
construction of the Center for an estimated cost of $12,000,000. 

Following a presentation by Chancellor Hogan on plans for the Campus Center, the 
Stadium and the Tsongas arena, Mr. Dana Skinner, Athletic Director at the Lowell campus 
spoke. He first reported that out of 85,000 entries in the NYSP National Poster Contest, Tlay 
Thla Chim, a participant in UMASS Lowell's National Youth Sport Program has won the 
contest. His drawing will be used next year as the NYSP logo on all t-shirts and posters. Mr. 
Chim is now in Orlando to accept this award. 

Mr. Skinner then spoke on the status of the stadium which will be located across the 
Campus Center and is expected to open in March, 1998. A representative from Sasaki Associates 
then gave a slide presentation about the plans for the Campus Center. 

Trustee Andriolo offered his support for the Campus Center and commended the Board and 
the Administration for coordinating the efforts to move ahead with plans for new construction 
on the Lowell campus. 

It was moved, seconded and 



-6- 



Committee on Administration and Finance 
January 22, 1997 



VOTED : To recommend that the Board take the following action: 

In accordance with the Land and Facilities Use Planning Polio/ (Doc. T93-122), 
to approve the proposal for the design and construction of a Campus Center at 
the Lowell campus for an estimated cost of $12,000,000 ($7,000,000 of which is 
to come from funds made available to the campus by the University of 
Massachusetts Building Authority and $5,000,000 of which is to be provided by 
the Commonwealth) as described in Doc. T97-007 and, further, to authorize the 
Chancellor of the Lowell campus to proceed to take the necessary steps to begin 
the design process, provided that the President and Chancellor shall provide 
regular reports to the Board on the progress of said project. 

And further, 

VOTED : To recommend that the Board take the following action: 

To approve an increase in the Operating Fee at the University of Massachusetts 
Lowell of $45 per semester effective the first semester of operation of the 
Lowell Campus Center (anticipated to be during Fiscal Year 2000) in order to 
pay for the operations of the new Campus Center. 

The next item was Establishment of Quasi-Endowment (University of Massachusetts Boston 
Undergraduate Student Senate Endowment) . Vice President Lenhardt reported that this 
endowment will be sponsored by the Boston campus Student Government Association in support 
of the First Campaign. Expenditures of interest income from the fund will provide scholarship 
funding for Boston campus students. 

It was moved, seconded and 

VOTED; To recommend that the Board take the following action: 

To establish a new quasi-endowment for the Boston campus, to be named "The 
University of Massachusetts Boston Undergraduate Student Senate 
Endowment." Further, to authorize the President or his designee to request the 
University of Massachusetts Foundation to manage this endowment on behalf of 
the University. Interest from this endowment shall be transferred annually to 
the Chancellor of the Boston campus or her designee for expenditure. Such 
expenditures from the interest generated from said endowment shall be 
restricted to providing scholarship funds for undergraduate students at the 
Boston campus and shall be subject to the University of Massachusetts 
Foundation Spending Rate Policy. Further, to approve the Transfer of $36,366 
from revenues generated from student locker rentals, game room proceeds and 
the Wits End Cafe, and $65,000 from the Student Activity Trust Fund to said 
endowment, for a total of $101,366. 

The next item was Public Safety Facilities, University of Massachusetts Dartmouth . Vice 
President Lenhardt reported that the Dartmouth campus is requesting as part of their capital 
plan, a cost of $200,000 to renovate the campus police station. 



Committee on Administration and Finance 
January 22, 1997 



It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

In accordance with the Land and Facilities Use Planning Policy (Doc. T93-122), 
to approve the proposal for the design and construction of renovations to the 
Department of Public Safety facilities at the Dartmouth campus for an 
estimated cost not to exceed $200,000, as described in Doc. T97-019; and further, 
to authorize the President to request the University of Massachusetts Building 
Authority to initiate said project pursuant to the resolution of this Board voted 
on April 5, 1995. 

Vice President Lenhardt indicated that the Governor's House I Budget is not out yet 
delaying discussion of that item. 



There being no further business the meeting was adjourned at 10:43 a.m. 





„ ^ ...v-a. ye '\JUAT 

Barbara F.TJevico 
Staff Assistant 



l&tftk 



-8- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, March 18, 1997; 1:30 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Vice Chair Fey; Trustees Bogan, Carter, 
Giblin, Haynes, Karam, Lewenberg, Naughton and O'Leary 

Committee Members Absent : Trustees Andriolo, Arciero, Croft, Flores, Foley, Hoff and Mihos 

University Administration : President Bulger; General Counsel Kirby; Vice President Lenhardt; 
Chancellors Cressy, Hogan, Penney and Scott; Deputy Chancellors MacCormack and Stanton; 
Vice Chancellors Page and Dars; Ms. Wanczyk, University Controller 

Faculty Representatives : Professors Knight and Singh 

Chair Spence convened the meeting at 1:40 p.m. President Bulger introduced the first item 
on the consent agenda, Adoption of the Policy on Conflict of Interest Relating to Intellectual 
Property and Commercial Ventures, the Intellectual Property P olicy, and the Policy on Faculty 
Consulting and Outside Activities. University of Massachusetts Dartmouth. Vice President 
Lenhardt reported that the purpose of these policies is to enable greater success and 
involvement in technology transfer. These policies have already been adopted for the Lowell 
and Worcester campuses and have been under negotiation at Amherst and Boston with the 
faculty unions. There was discussion about the timetable for the Amherst and Boston campuses 
approving these policies. Chancellors Scott and Penney were optimistic that the collective 
bargaining issues would soon be worked out and these policies could possibly be ready in time for 
the April Board meeting. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action on the Board Consent 
Agenda: 

In accordance with section 14A of Chapter 75 of the General Laws to adopt the 
Policy on Conflict of Interest relating to Intellectual Property and Commercial 
Ventures (Doc. T96-039), the Intellectual Property Policy (Doc. T96-040), and 
the Policy on Faculty Consulting and Outside Activities (Doc. T96-047) for the 
Dartmouth campus. 

The next item was the Establishment of John F. Smith Memorial Professorship. University 
of Massachusetts Amherst . Chancellor Scott reported on the donation of $750,000 to establish a 
professorship in Operations Management in the School of Management. The Professorship, 
established by John F. Smith, is being created as a memorial in honor of his father. There was 
a brief discussion about the need to develop a policy outlining the differences between Endowed 
Chairs and Professorships and what amount of dollars are designated for what type of honors. 
The Development Officers on each of the campuses are in the process of developing such a 
policy. 



Committee on Administration and Finance 
March 18, 1997 



It was moved, seconded and 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

In accordance with the University Policy on Named Professorships (Doc. T93- 
014), to approve the establishment of the John F. Smith Memorial 
Professorship in Operations Management in the School of Management at the 
University of Massachusetts Amherst. 

The next item on the agenda for action was the FY 1998 Room and Board Rates and Other 
Student Fees . Chancellor Cressy reported that the students from the Dartmouth campus have 
accepted the final round of FY1998 Students Fees. 

Chancellor Scott then reported that the Amherst board charges are being restructured in FY 
1998 to provide more flexible use of meal plans, increased choice and expanded menus. He then 
gave a presentation focusing on the different meal plans on the Amherst campus. Two years ago 
there had been concerns expressed by students on the inflexibility of the meal plans. Following 
discussion with student leaders the administration has developed a restructured plan which 
the Chancellor then reviewed. 

Chancellor Scott reported the increase for the meal plans will provide improvements, cope 
with inflation rates and will be reviewed after one year. Trustee Carter asked how the fee 
increases would improve the quality of food, and the managing of the facilities. Chancellor 
Scott introduced Mr. Ganguli, Director of Auxiliary Services who voiced his support for the 
increased board fee. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

In accordance with Section 1A of Chapter 75 of the General Laws, to establish 
and approve the fees for Academic Year 1997-98 as listed in Doc. T97-011, 
Addendum 1. 

And further, the President shall submit budgets for all student fees for 
approval by the Board no later than June 30, 1997. 

The next two items on the agenda for discussion were the 1997 Financial Indicators and 
Financial Peer Information . Vice President Lenhardt reported that the campuses have moved 
from developing indicators (Operating Margin, Financial Cushion, Current Ratio, Debt Service 
to Operations, and Endowment per student) to developing projections and are now establishing 
specific targets for future years in terms of performance. There will be a sub-committee of this 
committee formed to review these targets by campus in depth. 

Chair Karam suggested the Subcommittee continue to look at the peer information and how 
we measure ourselves against them. Vice President Lenhardt reported that the campus-peer 
information is available for review and will be presented at the Subcommittee meeting. 

Ms. Wanczyk, University Controller then gave a presentation on Financial Indicators and 
Financial Peer Information. 



C3 



9 



Committee on Administration and Finance 
March 18, 1997 



She reminded Trustees that in 1992 the Board requested information about how the 
University measured up among our peer institutions and found the results discouraging. In 1993 
the exercise was repeated and due to positive results of operations, the University began to 
show improved financial ratios. In 1994 the University posted a deficit and in 1995 the Board 
passed a resolution on financial integrity. 

As a result of the 1995 resolution, the financial indicator guidelines were developed to help 
compare UMASS with peers and make projections about the future. The University uses 
Moody's, Standard and Poors, Dun and Bradstreet and Peterson's Guides to Strategic Indicators 
for Higher Education as sources for industry medians. Currently the University's financial 
condition is stable and has indicated a modest growth in all of the indicators. 

Ms. Wanczyk spoke further about the need to compare the University's financial 
performance to other institutions which helps provide strategic, comparative information that 
can help Trustees understand the condition of the University relative to other similar 
institutions. Other highlights in the report included: 

•Non-financial indicators such as enrollment and employee statistics should be included in 
the analysis when considering the effects of rate and volume. 

•Current ratio - this indicator measures the financial soundness of an institution; according 
to Dunn & Bradstreet, the median current ratio for college and universities is 2 to 1. 

• Endowment per student - this indicator allows comparison of the relative wealth and 
flexibility of institutions; according to Moody's the median for public institutions is $6,900 
of endowment per student. 

• Endowment Assets - institutions with large endowments can enhance financial flexibility 
through investment income; according to Moody's, a median endowment for public 
institutions is $349 million. 

•Long-Term Debt - represents the total long term debt, including bonds payable and long- 
term capital leases; the University has less debt than Maryland and California but more 
than Missouri and Nebraska. 

•Debt service to operations - measures the demand that annual commitments to creditors 
place on the restricted operating funds. 

•Financial Cushion - reflects resources to meet sudden declines in major revenue sources such 
as state support; except for Maryland, the University's financial cushion is relatively 
small when compared to other schools. 

•Operating Margin - measures operating excess or deficit as a percent of total revenues; the 
University results of operations for 1996 compares favorably with other institutions. 

Chair Karam reported that it was important that the University reach its targets; he also 
stressed the need to raise endowments and /or levy a quasi-endowment tax. 

The next item was the Revised FY 1998 Graduate Student Tuition Rates . Vice President 
Lenhardt reported that this issue has been resolved with the Board of Higher Education staff 
and they will recommend that the Board of Higher Education accept the graduate student 
tuition rates for FY1998. There is a continuing concern on the part of the Board of Higher 
Education regarding charges to out-of state students and if graduate students should pay more 



•3- 



Committee on Administration and Finance 
March 18, 1997 

than undergraduates. It is expected that discussions on these items will continue into the next 
year. 

The next item was the Report of the Ad Hoc Committee on Investments , Commercial 
Ventures, and Intellectual Property . Vice President Lenhardt reported that this Committee 
had discussed the current status of the University's investments and activities surrounding 
commercial ventures and intellectual property. Mr. Marquis, Associate Treasurer highlighted 
portfolio performance as of 12/31/96. It had been suggested that portfolio managers attend the 
next meeting. 

Vice President Chmura and Mr. McGuirl from the Worcester campus had given a report on 
commercial ventures and intellectual property deals and future strategic issues. A system-wide 
policy is in negotiation that will enhance the University's ability to do research and become 
more entrepreneurial. 

The next item was the Worcester Foundation for BioM edical Research. Merger/ Acquisition . 
Vice Chair Fey and Deputy Chancellor Stanton reported on the significance of such a merger 
and the benefits. Some of these benefits included 1) preserving the rich tradition and scientific 
mission of the Worcester Foundation for Biomedical Research, 2) growth of the UMASS 
Worcester research program including an additional $6 million of funded research at UMASS 3) 
consolidation of fund raising programs and increased philanthropic support of $1 million 
annually 4) increase in the UMMS endowment. It is expected that this item will come before 
the Board for action in June. There has been a question about offering multi-year contracts. 

The next informational item on the agenda was the FY 1997 2nd Quarter Interim Financial 
Report. 

Chair Karam then announced that today was Trustee Spence's last meeting as she has been 
appointed to another Board. He thanked her for her work as a Trustee and looked forward to 
working with her in the future. He announced that Trustee Fey will become Chair of the 
Committee on Administration and Finance and a new Vice Chair will be announced. 

There being no further business the meeting was adjourned at 2:55 p.m. 

I) 



QcidtiM-^-Oo^m 



Barbara F. DeVico 
Staff Assistant 



D 



V 



UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Thursday, May 29, 1997; 9:00 a.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Fey; Trustees Andriolo, Bogan, Croft, Flores, Giblin, 
Karam, Lewenberg, Mihos, Naughton 

Committee Members Absent : Trustees Arciero, Carter, Foley, Haynes, Hoff and O'Leary 

University Administration : President Bulger; General Counsel Kirby; Vice President Lenhardt; 
Chancellors Penney, Cressy, Hogan and Lazare; Deputy Chancellors MacCormack and Stanton; 
Vice Chancellors Page, Dars, Goodwin and; Ms. Wanczyk, University Controller 

Faculty Representatives : Professors May and Phelan 

Chair Fey convened the meeting at 9:00 a.m. and called on President Bulger to report on 
current issues. President Bulger updated the Committee on the current status of the following 
issues: 1) the University is awaiting the final deliberations on the State budget and how it will 
impact the University; 2) the University has successfully restored some $3.7 million for tuition 
waivers from the BHE which had been lost in December of 1996; 3) the Committee will be 
asked today to approve the fee-based budgets which reflect a major portion of the University's 
financial activities; and 4) the acquisition of the Worcester Foundation for Biomedical 
Research and its merger into the Medical Center expected to be a major milestone for the 
University. 

Chair Fey then asked the Committee to approve the minutes of the last meeting. It was 
moved, seconded and 

VOTED : To approve the minutes of the March 18, 1997 meeting of the Committee on 
Administration and Finance. 

Chair Fey then reported that Chancellor Lazare had requested the Worcester Foundation 
for Biomedical Research be moved to the first action item on the agenda. The Worcester 
campus is requesting authorization to acquire the Worcester Foundation for Biomedical 
Research. Chancellor Lazare outlined the terms of the proposal and noted that this is a major 
acquisition for Worcester and will enhance research and bring major intellectual and capital 
assets to the campus. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS, the University of Massachusetts Worcester and the Worcester 
Foundation for Biomedical Research and the Worcester City Campus 
Corporation have reached agreement as to the terms of a merger; and 



Committee on Administration and Finance 
May 29, 1997 

WHEREAS, by this merger the University of Massachusetts Worcester will be 
both preserving an important asset to the scientific and Worcester communities 
and furthering the University's academic, training and research missions; and 

WHEREAS, by this merger the University of Massachusetts Worcester will be 
bringing a number of outstanding scientists and educators from the Worcester 
Foundation for Biomedical Research into the faculty of the University of 
Massachusetts Worcester; and 

WHEREAS, by this merger the Worcester City Campus Corporation will 
acquire certain real estate from the Worcester Foundation for Biomedical 
Research for the use of the University, and retain, as a subsidiary entity of 
Worcester City Campus Corporation, the active involvement and support of a 
community fund raising board committed to scientific research and education; 
and 

WHEREAS, by this merger the Worcester Foundation for Biomedical Research 
will transfer its existing endowment to the UMASS Foundation to support the 
activities of the new joint research and training program. 

NOW THEREFORE IT IS VOTED to authorize the President to take all actions 
necessary, or to subdelegate such action or actions to the Chancellor, to 
effectuate the merger between the University of Massachusetts Worcester and 
the Worcester Foundation for Biomedical Research, including entering into a 
lease for space at the Biotechnology Research Park in accordance with the 
requirements of Massachusetts General Laws chapter 75, section 36C. 

Trustee Fey then reported on the first item on the consent agenda, the Authorization for 
Expenditure of Funds in FY 1998 . This is a routine vote taken every year allowing the 
University to expend funds at the previous year's level until the FY1998 operating budget is 
approved. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action on the Board Consent 
Agenda: 

To authorize the President to expend at the FY 1997 rate, state and non-state 
funds for the University from July 1, 1997 until such time as the Board adopts 
the Operating Budget for FY 1998. 

The next item was the Amendment to the Policy on Tuition Waivers . Vice President 
Lenhardt reported that the Trustees had previously approved non-unit waiver policies 
including employee waivers. This vote clarifies and corrects the policy to allow retirees to 
benefit from tuition waivers. The University has reduced other benefits and this is a waiver 
which has important symbolic but limited financial impact. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

To approve an amendment to the Policy on Tuition Waivers (Doc. T96-129) by 
adding the underscored words to Section IV, C3: 



§) 



• 



Committee on Administration and Finance 
May 29, 1997 



If a University Employee retires from the University the University Employee 
and his or her Spouse, Domestic Partner and Dependent Children shall be 
eligible for tuition waivers for one program of study or degree program. 

The next item on the agenda was the Waivable Fee for Mass Media Newspaper, UMASS 

Boston . It was reported that following a student referendum, the students had voted to have 
the Mass Media be solely dependent on a waivable negative check off fee on tuition bills. The 
student bill will accurately reflect this aspect of the fee. Following a lengthy discussion on the 
subject of waivable fees, Trustee Croft voiced his support for the motion and moved that it be 
placed on the Board consent agenda. Deputy Chancellor MacCormack noted that the Boston 
administration was willing to recommend this fee on a trial basis. It was then suggested that 
the motion be amended to add a sunset provision that will allow this item be brought back to 
the Board in a year's time. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

To recommend to the Board that a waivable fee in the amount of four dollars 
($4) per semester for undergraduate students be implemented and placed on 
student tuition bills for the Boston campus effective in academic year 1997-98, 
the proceeds to be used solely to cover operational costs of the Mass Media 
provided that said fee shall not be continued beyond academic year 1997-98 
unless authorized by a further vote of the Board of Trustees after its 
consideration of students fees for academic year 1998-1999. 

Trustee Flores was recorded as being opposed to the item. 

The next item was the FY 1998 Fee-Based and Revenue-Based Budg ets. Vice President 
Lenhardt reported that these budgets reflect some $388 million dollars of revenue including 
mandated student fees approved in February and other fees for services rendered on the campus. 
All budgets are basically balanced with some limited deficit situations where the campus will 
utilize fund balances. These budgets were prepared on the basis of the President's Office 
guidelines and reflect expenditures for significant wage increases, plant upgrades, and 
information technology infrastructure. 

A lengthy discussion ensued about the budget process in relation to financial indicators. 
Several Committee members expressed their interest in having the Committee examine several 
pressing issues such as regular updates on the status of the Building Authority and its projects, 
the student health issues in response to Trustee Foley's report issued last December, and an 
overall consideration on private services on campus, particularly with respect to campus book 
stores. 

It is expected these issues will come back to the Board through this Committee, possibly 
the Committee of the Whole and finally to the full Board. It was also noted that the October 
meeting of the Committee of the Whole will be provided with a report by the President's 
Office and the Chancellors regarding follow up to discussions at the recent Trustee Retreat 
concerning the University system. 

Trustee Croft then asked that it be noted in the records that he would like to review the 
current budget process and have fee-based budgets come back to the Board following the final 
figures on the State budget. 



-3- 



Committee on Administration and Finance 
May 29, 1997 



It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the FY 1998 Fee-Based Budgets at the Amherst, Boston, Dartmouth, 
Lowell, and Worcester campuses, and the budgets and fee structures for the FY 
1998 Revenue-Based Budgets at the Amherst, Boston, Dartmouth, Lowell, and 
Worcester campuses, and for Central Administrative Services, as described in 
Doc. T97-042, and further, to approve the establishment of the Public Service 
and Economic Development Trust Fund at the Amherst campus, the Graduate 
Student Activities Trust Fund and the Mass Media Trust Fund at the Boston 
campus, the Public Health Services Trust Fund at the Worcester campus, and 
the Commercial Ventures and Intellectual Property (CVIP) Trust Fund for 
Central Administrative Services, as well as their associated statements of trust 
as contained in Doc. T97-042, and further, to approve other changes in the 
Statements of Trust as outlined in the executive summary. 

The next item was the Joint Admissions Tuition Advantage Program . Vice President 
Lenhardt reported that this initiative of the Board of Higher Education is to provide a 33% 
tuition discount to community college transferees if they transfer from a community college to 
the University through the Joint Admissions Program with a 3.0 GPA. There was a discussion 
about the fairness of such an action and the Committee agreed that this issue be tabled so that 
the President, members of his staff and several trustees as appropriate, have a chance to 
discuss this issue further with Chairman Carlin and the Board of Higher Education. 

It was moved, seconded and 

VOTED : To table the Joint Admissions Tuition Advantage Program. (Doc. T97-053) 

The next two items on the agenda for discussion were the FY 1998 State Budget and Tuition 
Waivers . Vice President Lenhardt gave a brief update on the FY 1998 budget. He also updated 
the status of the University's efforts to obtain Board of Higher Education approval of a tuition 
waiver proposal that would allow the continuance of a number of important waiver programs at 
the University. 

The next informational item on the agenda was the FY 1997 Financial Aid Report . Vice 
President Lenhardt informed the Committee that this item had been discussed in detail at 
yesterday's meeting of the Committee on Academic and Student Affairs. The report contains 
information about the size and scope of financial aid programs at UMASS, recipients of 
financial aid, levels of financial need and unmet need and indebtedness at graduation. The 
Committee agreed that financial aid is an important policy issue that needs additional 
review. 

The next item on the agenda was the FY 1997 3rd Quarter Interim Financial Report . Vice 
President Lenhardt briefly summarized the 3rd Quarter Report. 

Trustee Andriolo then announced that today was his last Committee meeting as a Trustee 
and thanked the members for all their hard work. 



• 



Committee on Administration and Finance 
May 29, 1997 



There being no further business the meeting was adjourned at 10:55 p.m. 



• 



Barbara F. DeVico 
Staff Assistant 



)) 



• 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Wednesday, July 30, 1997; 9:00 a.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Fey; Trustees Bogan, Carpenter, Giblin, Haynes, Hoff, 
Lewenberg, Mihos, Murray, Tirrell and Tremblay 

Committee Members Absent : Trustees Bogan, Flores, Foley, Mahoney, Naughton and O'Leary 

Other Trustees : Trustee Dubilo 

University Administration : President Bulger; Acting General Counsel Haskell; Vice President 
Lenhardt; Chancellors Scott, Penney, Cressy and Lazare; Deputy Chancellors MacCormack and 
Stanton; Vice Chancellors Page, Dars and Goodwin; Ms. Wanczyk, University Controller 

Faculty Representatives : Professor Phelan 

Chair Fey convened the meeting at 9:14 a.m. asked that the Committee adopt the Minutes 
from the previous meeting. It was moved, seconded and 

VOTED: To approve the minutes of the May 29, 1997 meeting of the Committee. 

Chair Fey then called on President Bulger to report on current issues. President Bulger first 
welcomed the newest members of the Board: Trustee Edward Dubilo, Sean Carpenter, Michael 
Murray, Brian Tirrell and Keith Tremblay. 

President Bulger announced the $28.7 million or 7.7% increase the University has received 
in State support in the FY1998 budget. This coupled with last year's increased support of $25 
million shows very strong legislative support. He expressed his gratitude to the Legislature for 
their support. 

He further reported that the allocation of these funds will support priority initiatives for 
the University system including added scholarship support, new investments in information 
technology, library enhancements, the Marine Science Laboratory at Dartmouth, curriculum 
reform and private fund raising support. In addition, $3 million will be held back for further 
support of new central and campus initiatives. 

President Bulger then congratulated Chancellor Scott and his staff for the $6 million gift 
from the Isenberg family. He then mentioned a gift from Mr. Cornell, a friend of the 
University, in particular of the Boston campus, of over $500,000 dollars. 

President Bulger also reported on a senior leadership training program in November for the 
University's senior administrators and Trustees to be directed by the Cortland Group and the 
plan for a Labor/Management Summit in the fall to discuss issues of common interest. 



• 



II 



Committee on Administration and Finance 
July 30, 1997 

Vice President Lenhardt then reported on the status of the Capital Budget. He talked 
about the state providing between 4-5 million dollars in support of technology efforts which 
will be used for library support, distance learning and for the Mass Information Turnpike 
Initiative. He also noted that a report is expected in December on all capital expenditures 
including state funds spent on our behalf, building authority expenditures and capital 
investments. 

Vice President Lenhardt then informed the Committee that the administrative redesign 
program is reviewing and evaluating all the central administrative services of the University 
including the controller's office, the treasurer's office and the audit office. 

The next item was Change in Parking Regulations, University of Massachusetts Amherst . 
Vice Chancellor Page discussed the recommendations concerning the policies and procedures 
relevant to its parking system. Vice President Lenhardt reported that the administration is 
looking into how these kind of issues will be brought to the Board as a broader policy issue. 
Acting General Counsel Haskell explained that the Board may not delegate certain regulations 
due to language in Chapter 75 of the General Laws. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

To approve, effective September 1, 1997, the Parking Regulations for the 
Amherst campus, as contained in Doc. T97-073, subject to applicable collective 
bargaining agreements or statutory requirements, and to ratify the President's 
approval of modifications to the Amherst parking garage and metered parking 
rates. The Parking Regulations shall supersede and rescind the Motor Vehicle 
and Parking Regulations, Doc. T82-023C, as amended. 

The next item was the Authorization for Designated Officials to Execute Amendments to 
Contract Between University and Building Authority . Vice President Lenhardt reported that 
this is a routine issue to amend the Restated Contract for State Financial Assistance and 
Services between the Commonwealth of Massachusetts, acting by and through the Trustees and 
the University of Massachusetts Building Authority and to designate appropriate officials as 
those who may execute certain documents. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

BE IT RESOLVED: 

WHEREAS, by Section 33 and other provisions of Chapter 142 of the Acts of 1991 
the University of Lowell became the University of Massachusetts at Lowell, the 
Board of Trustees of the University of Lowell was abolished and the rights, 
powers, duties and properties of the Board of Trustees of the University of Lowell 
"shall hereafter be exercised, performed and held" by the Board of Trustees (the 
"Trustees") of the University of Massachusetts (the "University"); 

WHEREAS, Section 40 of said Chapter 142 provides, among other things, that 
"whenever the name of . . . the board of trustees of the University of Lowell, or of . . . 
the University of Lowell, or any words connoting the foregoing appear in any general 

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& 



Committee on Administration and Finance 
July 30, 1997 






*v 



• 



or special law, or in any order, bylaw, rule, regulation or other document, such name 
or words shall be construed as referring to the board of trustees of the University of 
Massachusetts or the University of Massachusetts respectively. . . . "; 

WHEREAS, by Section 20 of Chapter 267 of the Acts of 1995, which Chapter 267 
became effective not earlier than December 22, 1995, the University of Lowell 
Building Authority and the Southeastern Massachusetts University Building 
Authority were discontinued effective July 1, 1995 and on and after such date the 
"rights, powers, duties and properties of University of Lowell Building Authority 
and Southeastern Massachusetts University Building Authority" are to be 
"exercised, performed, owned and held by the University of Massachusetts 
Building Authority"; 

WHEREAS, Section 22 of said Chapter 267 provides as follows: 

On July first, nineteen hundred and ninety-five all real and personal property and 
all duly existing contracts, leases and obligations, including without limitation 
obligations pursuant to bonds, of the University of Lowell Building Authority and 
the Southeastern Massachusetts University Building Authority that are in force 
and effect on June thirtieth, nineteen hundred and ninety-five and do not otherwise 
terminate on such date shall be and are hereby transferred to the University of 
Massachusetts Building Authority; all such contracts, leases, and obligations shall 
after such date be obligations of and be performed by the University of 
Massachusetts Building Authority and shall be payable solely from the sources 
provided for the payment thereof on June thirtieth, nineteen hundred and ninety- 
five; and no existing right or any type shall be enlarged, diminished or impaired by 
the provisions of this act; provided, however, that nothing in this act shall be 
construed to prohibit any contract, lease or obligation transferred to the University 
of Massachusetts Building Authority by this act from being amended as provided in 
such contract, lease or obligation. Without limiting the generality of the foregoing 
provisions of this section, (a) the rights, remedies, security and obligations of any 
person holding any bonds issued by the University of Lowell Building Authority or 
the Southeastern Massachusetts University Building Authority and outstanding on 
or after July first, nineteen hundred and ninety-five shall not be enlarged, 
diminished or impaired by this act, and all such bonds shall on and after July first, 
nineteen hundred and ninety-five, be obligations of the University of 
Massachusetts Building Authority shall be payable solely from the sources 
provided therefor on June thirtieth, nineteen hundred and ninety-five; (b) all 
references to the University of Lowell Building Authority or Southeastern 
Massachusetts University Building Authority in any trust agreement, bond 
resolution, bond, lease or other contract transferred to or made an obligation of the 
University of Massachusetts Building Authority by this act shall be deemed to 
refer after June thirtieth, nineteen hundred and ninety-five to the University of 
Massachusetts Building Authority; (c) all references to the University of Lowell or 
the trustees of the University of Lowell in any trust agreement, bond resolution, 
bond, lease or other contract transferred to or made an obligation of the University 
of Massachusetts Building Authority by this act shall be deemed to refer after June 
thirtieth, nineteen hundred and ninety-five to, respectively, the Lowell campus of 
the University of Massachusetts and the board of trustees of the University of 
Massachusetts; and (d) all references to Southeastern Massachusetts University or 
the trustees of Southeastern Massachusetts University in any trust agreement, bond 
resolution, bond, lease or other contract transferred to or made an obligation of the 
University of Massachusetts Building Authority by this act shall be deemed to 
refer after June thirtieth, nineteen hundred and ninety-five to respectively, the 



-3- 



•> 



• 



Committee on Administration and Finance 
July 30, 1997 

Dartmouth Campus of the University of Massachusetts and the board of trustees of 
the University of Massachusetts; 

WHEREAS, the University of Massachusetts Building Authority (the 
"Authority") and the Trustees, acting in the name and on behalf of The 
Commonwealth of Massachusetts (the "Commonwealth"), desire to amend the 
Restated Contract for State Financial Assistance and Services dated as of 
September 1, 1976, as amended (the "Restated Contract"), between the 
Commonwealth, acting by and through the Trustees (successor to the Board of 
Trustees of the University of Lowell), and the Authority (successor to the 
University of Lowell Building Authority) to designate as signers of certain 
documents on behalf of the Authority the officials specified herein; 

NOW, THEREFORE, 

1. The Restated Contract is construed by this resolution as provided in Section 40 of 
said Chapter 142 (quoted above) and is deemed by this resolution to have been 
amended as provided in Section 22 of said Chapter 267 (quoted above). 

2. Each of the Chairman of the Trustees, the Vice Chairman of the Trustees, the 
President of the University and the Vice President for Management and Fiscal 
Affairs and Treasurer of the University, acting alone, is authorized, in the name 
and on behalf of the Commonwealth, to execute, acknowledge, seal with the 
common seal of the University and the Trustees and deliver a Fourth Supplement to 
Restated Contract for State Financial Assistance and Services (the "Fourth 
Supplement") between the Authority and the Commonwealth, acting by and 
through the Trustees, containing (i) provisions amending the Restated Contract to 
the effect that all documents, requisitions, certificates, checks and other writings 
specified by the Restated Contract to be signed by one or more officers or members of 
the Authority may be signed by any one, acting alone, of the Chairman, Vice 
Chairman, Secretary-Treasurer, Assistant Secretary-Treasurer or Executive 
Director of the Authority and (ii) such other provisions as may be approved by the 
signer of the Fourth Supplement on behalf of the Trustees; such signer is hereby 
authorized to approve and determine the provisions of the Fourth Supplement, the 
execution thereof by such signer shall conclusively identify such document as the 
Fourth Supplement and conclusively evidence the determination and approval 
thereof by such signer, and the making of the Fourth Supplement by the Trustees in 
the name and on behalf of the Commonwealth is hereby authorized. 

3. Each of the trustees and officers of the University is and all of them and the 
employees, agents and attorneys of the University are authorized and directed, in 
the name and on behalf of the Commonwealth, acting by and through the Trustees, 
from time to time as such Trustee, officer, member, employee, agent or attorney, one 
or more, deem it appropriate or necessary, to do all acts and things and execute any 
and all documents or instruments required or appropriate in connection with the 
matters authorized in this resolution and the effectuation of such matters, the 
doing of any such acts or things or the execution of any such documents or instruments 
to be conclusive evidence that the same is authorized by this resolution. 



• 



4. In addition to the authorizations granted by this resolution, and without 
limiting any such authorizations, the Trustees, pursuant to Chapter 75, Section 
3A of the Massachusetts General Laws and every other authority thereunderto 
the Trustees enabling, hereby delegate to the President of the University and 
the Vice President for Management and Fiscal Affairs and Treasurer of the 




» 



Committee on Administration and Finance 
July 30, 1997 

University, each acting alone, the power to do all acts and things and exercise 
all powers each such officer is authorized by this resolution to do or exercise, 
such delegation being intended to be commensurate with the authorizations 
granted to each such officer by this resolution, and such delegation being in the 
judgment of the Trustees necessary or desirable. 

The next item on the agenda was Lease of Space. University of Massachusetts Building 
Authority . Vice President Lenhardt reported that this vote authorizes the UMASS Building 
Authority to enter into a lease for office space in downtown Boston that will house the 
President's Office, the UMASS Foundation and the Donahue Institute for Governmental 
Services. It is also expected to include some classroom space for distance learning. The 
Committee voiced their support for this endeavor. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

BE IT RESOLVED: 

WHEREAS, University of Massachusetts Building Authority (the 
"Authority") is authorized by Chapter 773 of the Acts of 1960, as amended, 
among other things, to provide dormitories, dining commons and other buildings 
and structures for the use of the University of Massachusetts (the 
"University"), its students, staff and their dependents and certain 
organizations related to the University, to alter, enlarge, reconstruct, remodel 
and do other work in or upon or respecting any building or structure, to provide 
and install furnishings, furniture, machinery, equipment and facilities in or for 
or related to any such building or structure and to initiate projects for such 
purposes upon written request made by authority of the Board of Trustees (the 
"Trustees") of the University; and 

WHEREAS, the Authority is further authorized by said Chapter 773 to acquire 
real and personal property by lease, purchase and otherwise; and 

WHEREAS, in the judgment of the Trustees it is in the best interests of the 
University, its students, staff and their dependents and said organizations that 
the Authority initiate the project described below; 

NOW, THEREFORE, BE IT RESOLVED THAT 

1. The President of the University be and he hereby is authorized in the 

name and on behalf of the Trustees to make a written request of the Authority 
that the Authority initiate the following projects: 

(a) through lease, purchase or otherwise, to obtain premises within the 
building located at One Beacon Street in the City of Boston, suitable for the 
offices of the President and Board of Trustees of the University, and for such 
ancillary and auxiliary purposes, including offices for the University of 
Massachusetts Foundation, Inc., as the President may determine; and 

(b) in addition to or in lieu of said project, any other renovation, repair, 
remodeling or other work in or upon or respecting any building or structure 
owned, leased or used by the University or the Authority, or the provision, 



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m 



Committee on Administration and Finance 
July 30, 1997 

installation, renovation, repair or remodeling of or other work upon or 
respecting any furnishings, furniture, machinery, equipment or facilities with 
respect to any such building or structure, all as may be requested of the 
Authority in writing from time to time by the President of the University or by 
the Vice President for Management and Fiscal Affairs and Treasurer of the 
University, the making of any such request being hereby authorized; 

2. The President of the University and all other officers of the University 

be and they are and each acting singly is authorized and directed to request the 
Commissioner of Administration and the Chancellor to approve in writing the 
undertaking by the Authority of the projects a request for which is hereby 
authorized and to do such other things and to take such other action as to the 
officer or officers so acting shall, as conclusively evidenced by their taking the 
action hereby authorized, deem necessary or desirable to be done or taken to 
carry into effect the matters hereby authorized. 

The next item was Revision to the Policy on Contracts for Consultant Services . Vice 
President Lenhardt reported that this action is simply a correction to approved changes to a 
previous Policy on Consultant Services, which increased from $100,000 to $150,000, the 
maximum amount of each professional service contract that may be approved by the 
Chancellors. Chair Karam requested the Board continue to receive reports on contracts over 
$100,000. 

It was moved, seconded and 



.» 



* 



VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

To amend the Consultant Services Policy, as contained in Doc. T92-031 
(Appendix D, as revised), in Section III.B.l by striking out the figure "$100,000" 
and replacing it with the figure "$150,000." 

The next item was Allocation of FY 1998 State Funds . Vice President Lenhardt explained 
the allocation process which involved a series of budget meetings between the President and 
each Chancellor. These discussions took place in June and focused on review of current campus 
operations, efforts to restructure and re-deploy resources, campus goals and outcomes, and the 
need for new funding for specific areas. 

He further reported that the final recommended distribution for FY1998 will provide funds 
for all campuses to cover wage increases, provide support for the operation of the Marine 
Science Laboratory in connection with the Dartmouth campus and as earlier mentioned, set 
aside $3 million for the President's initiatives reserve and system administration needs. 

There was a question about funding for the Honors Program at the Amherst campus. Vice 
President Lenhardt reported that there are no extra funds provided for the program and that 
there will be a request to the Board of Higher Education for funds to help support this program. 

Trustee Tirrell inquired about the possibility of lowering student fees due to the additional 
funds available at this time. Chair Karam pointed out that the University needs to catch up 
due to the years when additional funds were not available. 

There was then discussion about the need to place special emphasis on deferred 
maintenance projects and to keep pace with the new technology being offered. It was suggested 
the Chancellors develop a plan for further investment in campus needs regarding infrastructure. 



i 



« 



% 



Committee on Administration and Finance 
July 30, 1997 

There was also a question about the budget including the campus earmarks. Vice President 
Lenhardt reported the earmarks are included in campus allocations, and that this puts pressure 
on the campuses by reducing their flexibility. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the following fiscal year 1998 state appropriation allocations: 

Amherst $195,327,195 

Boston $70,126,728 

Dartmouth $39,802,035 

Lowell $60,449,843 

Worcester $31,110,389 

Donahue Institute for Governmental Services * $801,400 

University Health and Welfare Fund ** $2,674,002 

President's Reserve $3,000,000 

TOTAL $403,291,592 
Includes UMass Economic Project. 



* 
** 



Reserve for state employee dental insurance. 



Further, to authorize the President to make adjustments to the campus 
allocations for support of the President's Office and Central Administrative 
Services, to be reflected in the final allocation schedule submitted to the state. 

The next item was Naming of the Eugene M. and Ronnie F. Isenberg School of Management, 
University of Massachusetts Amherst . Chancellor Scott reported on the gift made by the 
Isenbergs of $6 million that will be paid out to the University between July 1, 1997 and June 30, 
2001. The Board is being asked to name the School of Management in honor of the Isenbergs. 
Chair Karam expressed his gratitude to the Isenbergs for their generosity and congratulated 
Chancellor Scott and the Development staff at the Amherst campus. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To name the School of Management at the Amherst campus the Eugene M. and 
Ronnie F. Isenberg School of Management, and to accept with sincere gratitude 
the generous gift of the Isenbergs. 



-7- 






9 



Committee on Administration and Finance 
July 30, 1997 

The next item for discussion was FY 1998 Operating Budget Overview . Ms. Uber, University 
Budget Director, then reviewed the phases in the development of the FY1998 budget based on 
enrollment and personnel trends, tuition and fee rates. 

Ms. Uber also reported that the administration is in the process of reviewing budget 
reporting at other institutions around the country looking for ideas for benchmarks, measures, 
and ways of reporting that will help focus on issues of greatest interest in importance. 

It was pointed out that the Clinical system is not included in the calculations. 

The next item was the Formation of a Trustee Subcommittee on University Health Care . 
Chair Fey reported that she and Vice President Lenhardt had been in touch with Trustee Foley 
regarding this issue and it was decided that rather than appointing trustees to another 
subcommittee, Trustee Foley with Chancellor Lazare with the other Chancellors will work on 
recommendations regarding the future of University health care issues. Also, RFP's are 
expected to go out soon for student supplemental health. 

Trustee Lewenberg then gave an update on the Status of Building Authority Issues . At the 
present time the Building Authority is in the midst of a comprehensive administrative 
redesign review culminating with new space for the President's Office. He also mentioned that 
Joseph Brady has been successfully in aiding the Authority with reformulating its process and 
procedures. 

He further reported that currently the projects undertaken by the Authority represented 
repairs and maintenance types of issues on each of the campuses excluding Worcester, including 
electrical upgrades, cooling, roof and streamline replacements. He briefly mentioned the water 
damage at the Library at the Amherst campus. The Authority is in the process of borrowing 
funds for the capital programs already approved by the Board. 

The next item for information was a Report on Contracts over $100,000 (FY1997) . There was 
a question about the University's courier service. Vice President Lenhardt reported that 
instead of having each campus drive to this office and the State House for deliveries we now 
have one service with a precise schedule reducing the cost by consolidating the services and 
reducing federal express and postage costs. 

There was also a question on outside legal services. Attorney Haskell reported that these 
costs were largely due to the specialists needed for the merger between the University of 
Massachusetts Medical Center and Memorial Health Care and the work being done with 
intellectual property issues. Briefly discussed was the Clean Harbors Environmental Services 
provided due to the Science Lab fire on the Boston campus. 

There being no further business to come before the Committee, the meeting was adjourned at 
10:26 a.m. 



hcjuy-o*^ 



Barbara F. DeVico 
Staff Assistant 



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) ■: 






V 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Wednesday, October 1, 1997; 1:00 p.m. 

Board Room 

University of Massachusetts 

Boston, Massachusetts 

Committee and Committee Staff: Vice Chair Berlandi; Trustees Bogan, Carpenter, Giblin, Haynes, 
Mihos, Murray, Tirrell and Tremblay 

Committee Members Absent : Chair Fey, Trustees Hoff, Lewenberg, Mahoney and O'Leary 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice President 
Lenhardt; Chancellors Cressy, Hogan, Lazare, Penney and Scott; Deputy Chancellors MacCormack and 
Stanton; Vice Chancellors Dars, Goodwin and Page; Ms. Wanczyk, University Controller; Ms. Uber, 
University Budget Director; Mr. Marquis, Associate Treasurer 

Faculty Representatives : Professor Phelan and Professor Disch 

In the absence of Chair Fey, Vice Chair Berlandi convened the meeting at 1:01 p.m. President Bulger 
first reported on the success of the Inauguration /Fundraising event held on September 18 and thanked 
everyone for their help. He also thanked the Treasurer's staff, particularly Mr. Marquis for the continued 
performance of this year's investments. 

President Bulger went on to thank the members of the Legislature and the faculty and staff at the 
University for their work with the budget. He also thanked Ms. Uber, Budget Director and her colleagues 
for their hard work. 

The first item on the agenda was Establishment and Transfer of Endowment Funds r UMASS 
Lowell . Vice President Lenhardt reported that five endowment accounts were established at the Lowell 
campus before the University of Lowell became part of the UMASS system. The funds will be transferred 
to the Foundation for investment purposes. There are also three new University endowments from the 
Lowell campus which will also be managed by the Foundation. 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action on the Board Consent Agenda: 

In accordance with Section lA(e) and 11 of Chapter 75 of the General Laws, to establish 
the following University of Massachusetts endowments at the Lowell campus, and to 
authorize the President or his designee to request the University of Massachusetts 
Foundation to manage the investment of those endowments on behalf of the University: 

Alexander Stewart Scholarship Fund 

Dennberg Learning Fund 

Gregg T. Hughes Memorial Fund 

Elin J. Stene Scholarship 

Paul E. Tsongas Memorial Fellowship Fund 

Honors Scholarship Fund 

Computer Science Scholarship 

Leo F. King Scholarship 



Committee on Administration and Finance 
October 1, 1997 

The next item on the agenda was the Lease of Space, University of Massachusetts Medical Center . 
Vice President Lenhardt reported that the Quality Assurance Review Center (QARC) which provides 
Radiotherapy Quality Assurance to the Cancer and Leukemia Group, had its federal sponsorship 
arrangements transferred to the University of Massachusetts Worcester. This program has been 
operating for eight years at the Roger Williams Hospital site and to avoid any disruption to the program, 
the Medical Center would like to renew the occupancy agreement for an additional three years. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action on the Board Consent Agenda: 

WHEREAS, the University of Massachusetts Worcester presently operates a federally 
funded program, the Quality Assurance Review Center (QARC), located at Roger 
Williams Hospital in Providence, Rhode Island; and 

WHEREAS, such program furthers the educational and research missions of the 
University of Massachusetts Medical School; and 

WHEREAS, a lease of space is incidental to the continuing operation of this program. 

NOW THEREFORE, IT IS VOTED to authorize the President to take all actions necessary, 
or to subdelegate such action or actions to the Chancellor, to enter into a lease for space 
incidental to the continuing operation of the QARC program at the Roger Williams 
Hospital in accordance with the requirements of Massachusetts General Laws chapter 75, 
Section 36C. 

The next item was Endowed Professorships, UMASS Worcester. Vice President Lenhardt reported 
on three endowed professorships established at the Worcester campus. The Committee is also being 
asked to approve the three faculty incumbents who will enrich research and teaching on the Worcester 
campus and will be honored at the upcoming Convocation. Chancellor Lazare gave a brief description of 
each endowment. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

In accordance with section lA(e) and 11 of Chapter 75 of the General Laws, to establish 
the following University of Massachusetts endowments at the Worcester campus, and to 
authorize the President or his designee to request the University of Massachusetts 
Foundation to manage the investment of those endowments on behalf of the University. 

The Irving S. and Betty Brudnick Endowed Chair in Psychiatry; Anthony J. Rothschild, 
M.D., first incumbent 

The Dr. John Meyers Professorship in Primary Care Medicine; Gerald Gurwitz M.D., first 
incumbent 

The William and Doris Krupp Faculty Development Professorship in Medicine; Also 
Rossini, M.D., first incumbent 

The next item for action on the agenda was the Fiscal Year 1998 University Operating Budg et. Vice 
President Lenhardt reported that the operating budget reflects the culmination of budget planning 
activity for the fiscal year. He noted that the President's Reserve is not reflected in campus 
appropriations as it is currently under review. Ms. Ubcr, Budget Director then gave a presentation 






tv 



Committee on Administration and Finance 
October 1, 1997 

providing budget highlights including current fund revenues, general operations revenues, designated 
and restricted revenues and expenditures. 

Vice President Lenhardt pointed out that last year the University projected a $24 million deficit, and 
has ended up with an $8 million surplus. The University is financially sound. 

Following the presentation there was a discussion about the financial cushion and operating under a 
negative budget. Ms. Uber and Vice President Lenhardt explained that each campus sets aside money in 
reserve and that the whole system works on a planned strategy. Current year deficits reflect planned use 
of prior year balances. There is now a financial target system - each campus is asked to report on whether 
or not it has reached its target, each campus has an operating surplus/deficit target for the next five years, 
every campus has a fund balance/surplus cushion and a current ratio target for the next five years. 

Vice President Lenhardt pointed out that the University is the only public university in New England 
that has fully funded all of its liabilities so there are appropriate cash and operating reserves to meet 
future obligations. 

Chair Karam then asked for information on institutional financial aid on each campus and if the 
University is going to meet the goal of no unmet financial need by the year 2000. He also inquired as to 
increased library expenditures from one year to the next, and whether there have been increased 
academic unit expenditures. These questions will be addressed in the near future. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

To approve the FY 1998 Operating Budget for the Amherst, Boston, Dartmouth, Lowell, 
and Worcester campuses, the System Administration, and the Maurice Donahue Institute 
for Governmental Services, as contained in Doc. T97-056. 

Trustee Mihos asked to be recorded as abstaining from this action. 

The next item was the Fiscal Year 1999 State Budget Request Guidelines . Vice President Lenhardt 
reported that these guidelines will be used to develop a request to the state for support in the next fiscal 
year. The process of the funding formula is based on the program, mission and structure of the 
campuses. The Committee is also being asked to authorize the President to prepare and submit the 
FY1999 state appropriation request. 

Chair Karam commented on the Component Analysis information and requested a meeting to talk 
about how this information relates to Trustee and campus initiatives. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

To approve the Budget Request Guidelines (Doc. T97-087), which will be utilized in 
developing a request to the state for support in the next fiscal year. 

And further, 

To authorize the President to prepare and submit the Fiscal Year 1999 State 
Appropriation request using approved Budget Request Guidelines. 



Committee on Administration and Finance 
October 1, 1997 

The next item was the Fiscal Year 1997 Tre asurer's Investment Report . Vice President Lenhardt 
reported the Treasurer's Office has generated in excess of $16.5 million from the investment of the 
University's operating cash which is an increase of over $1.45 million. Vice President Lenhardt 
acknowledged Mr. Marquis, Associate Treasurer for his success with this year's investments. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

To accept the Fiscal Year 1997 Treasurer's Investment Report as contained in Doc. T97- 
088. 

The next item was Approval of Charlton Capital Project. UMASS Dartmouth . Vice President 
Lenhardt reported that the Dartmouth campus is requesting approval of action related to the planned 
renovation of the Textile Science Building which will be the home for the Earle P. Charlton College of 
Business and Industry in connection with the $3 million gift from the Charlton Family Trust. The 
Dartmouth campus is also requesting a short-term loan of up to $2 million from the Worcester campus 
which will be repaid with proceeds from the next UMASS Building Authority loan. 

Chancellor Cressy reported that the renovations involved are integral to the campus' plans to receive 
accreditation of the business school by the year 2002. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

WHEREAS, University of Massachusetts Building Authority (the "Authority") is 
authorized by Chapter 773 of the Acts of 1960, as amended, among other things, to 
provide dormitories, dining commons and other buildings and structures for the use of 
the University of Massachusetts (the "University"), its students, staff and their 
dependents and certain organizations related to the University, to alter, enlarge, 
reconstruct, remodel and do other work in or upon or respecting any building or 
structure, to provide and install furnishings, furniture, machinery, equipment and 
facilities in or for or related to any such building or structure and to initiate projects for 
such purposes upon written request made by authority of the Board of Trustees (the 
'Trustees") of the University; and 

WHEREAS, the Authority is further authorized by said Chapter 773 to acquire real and 
personal property by lease, purchase and otherwise; and 

WHEREAS, in the judgment of the Trustees it is in the best interests of the University, its 
students, staff and their dependents and said organizations that the Authority initiate the 
project described below; 

NOW, THEREFORE, BE IT RESOLVED THAT 

1. The President of the University be and he hereby is authorized (a) in the name 

and on behalf of the Trustees to make a written request of the Authority that the 
Authority initiate a project (the "Project") consisting of the renovation of the Textile 
Science Building at the University of Massachusetts Dartmouth for use as the Earle P. 
Charlton College of Business and Industry, as described in Trustee Doc. T97-090; (b) if he 
should deem it advisable, to seek the assistance of the Commonwealth of Massachusetts 
Division of Capital Planning and Operations with respect to the Project; 



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Committee on Administration and Finance 
October 1, 1997 



2. For financing purposes the Project may be undertaken separately or together 
with other projects of the Authority requested in writing pursuant to authority of the 
Trustees. 

3. The President of the University and all other officers of the University be and 
they hereby are and each acting singly is authorized and directed to request the 
Commissioner of Administration to approve in writing the undertaking by the Authority 
of the Project and to do such things and to take other action as the officer and officers so 
acting shall, as conclusively evidenced by their taking action hereby authorized, deem 
necessary or desirable to be done or taken to carry into effect the matters hereby 
authorized. 

4. The President, of the University be and he hereby is authorized, pursuant to 
Section 13 of the Policy for Management of University Funds (Trustee Doc. T92-031, as 
amended), to approve an inter-campus loan in an amount not to exceed $2,000,000 from 
the University of Massachusetts Worcester to the University of Massachusetts Dartmouth 
to be applied to the carrying out of the Project, to be repaid from the proceeds of the 
University of Massachusetts Building Authority bonds to be issued for the Project (the 
"Authority Bonds"), such loan to be on the terms prescribed by said Section 13 and as set 
forth in said Trustee Doc. T97-090. The University is authorized and directed and hereby 
pledges to pay all amounts payable with respect to the Authority Bonds from all monies 
from the gift given by the Charlton Charity Fund for the Project legally permitted to be 
applied to such purpose, from the Expendable Fund Balance of the University, and from 
all other funds of the University permitted by law to be applied to such purpose. 

5. The University hereby declares its official intent under Section 1.150-2(d)(l) and 
(e) of the Treasury Regulations as follows: 

The University reasonably expects that there shall be reimbursed from the proceeds of 
the Authority Bonds expenditures temporarily advanced for the Project by the 
University, the maximum principal amount of Authority Bonds expected to be issued, all 
or a portion of the proceeds of which are reasonably expected to be used for such 
reimbursement purposes, being $2,000,000. 

The next item for discussion on the agenda was the Graduate Student Tuition and Fees . Vice 
President Lenhardt reported that the setting of graduate tuition and fees is a topic of interest to both the 
University and the Board of Higher Education. There was a question about losing qualified 
Massachusetts residents by admitting out-of state graduate students. Is the University going after the 
best applicants regardless of where they come from? The University has undertaken a study of charges 
and policies and will be bringing this item back to the Committee in the near future. 

The next item was an Update on the Status of the Tsongas Arena, UMASS Lowell . Chancellor 
Hogan reported that the project has been delayed until the third week of December which may delay 
opening until return of students during the spring semester. The post office and garage associated with 
the building out front will not be torn down until the spring, the road that will reroute the highway with 
a traffic signal will not be finished until September of next year. The Tully Forum which is six to seven 
miles from campus could be declared surplus. The town of Chelmsford has filed legislation that would 
turn the Tully Forum over to the town and would guarantee that the University had preferential 
scheduling at no cost. 



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Committee on Administration and Finance 
October 1, 1997 



Chancellor Cressy then thanked the Worcester and Amherst campuses for their help with the 
Charlton project and reminded Trustees of the Marine Science dedication on Monday, October 4. He 
went on to report that an extraordinary Board of Advisors has been selected and that there is 
approximately $4 million dollars in grants and contracts in place for this building. Ten companies have 
approached the Dartmouth campus about joint incubation space. 

There being no further business to come before the Committee, the meeting adjourned at 2:10 p.m. 

Barbara F. DeVico 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, November 18, 1997; 12:00 Noon 

Board Room 

One Beacon Street, 26th Floor 

Boston, Massachusetts 

Committee and Committee Staff ; Chair Fey; Trustees Carpenter, Giblin, Karam, Lewenberg, Mahoney, 
Mihos, Murray, Tirrell and Tremblay 

Committee Members Absent : Trustees Berlandi, Bogan, Haynes and O'Leary 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice President 
Lenhardt; Chancellors Cressy, Hogan, Lazare, Penney and Scott; Deputy Chancellors MacCormack and 
Stanton; Vice Chancellors Dars, Goodwin and Page; Ms. Wanczyk, University Controller; Ms. Uber, 
University Budget Director 

Faculty Representatives : Professor Kinney, Disch, Leclair and Phelan 

Chair Fey convened the meeting at 12:20 p.m. and asked President Bulger for his remarks. President 
Bulger reported that the Legislature approved the merger of the UMASS clinical system and Memorial 
Health Care Inc. He congratulated all of those who worked so diligently to achieve this goal. 

President Bulger also announced his support for Chancellor Penney's request to grant UMASS Boston 
diplomas to those supporters of the University who graduated from Boston State College. He further 
stated that the University's financial statement shows positive results and that the campuses are working 
to meet or exceed the financial targets that have been established. In regard to the first annual capital 
expenditure report, the University has committed to an ambitious program of capital restoration and 
improvement. 

The first item on the agenda for action was the A pproval of the Accounts Receivable Policy . Vice 
President Lenhardt reported that this is a standard policy which calls for all campuses to treat receivables 
in the same manner. The policy requires appropriate revenue generation and full development of 
campus procedures. 

It was then moved, seconded and 

VOTED: To recommend that the Board take the following action: 

To approve the Accounts Receivable Policy contained in Trustee Doc. T97-118. 

The next item on the agenda was Diplomas, Boston State College Graduates . Vice President 
Lenhardt reported that the merger of Boston State College into UMASS Boston made it possible for 
Boston State alumni to receive UMASS diplomas. Previously, Dartmouth and Lowell issued such new 
diplomas to the graduates of the predecessor campuses of these UMASS campuses. 

It was moved, seconded and 



V 



Committee on Administration and Finance 
November 18, 1997 

VOTED; To recommend that the Board take the following action: 

To authorize the issuance of University of Massachusetts Boston diplomas to graduates 
of Boston State College; and, further, to approve a printing and handling fee of $25 per 
diploma. 

The next item on the agenda was the FY1997 Financial Report . Vice President Lenhardt reported that 
the University had another positive fiscal year. In March there will be an update of financial targets and 
projected future results as part of the Performance Measurement Program. Ms. Wanczyk then gave a 
presentation. 

Chair Fey commented on the successful attempt to simplify and present the financial reports. She 
asked for suggestions and ideas that would help the administration continue to simplify the process. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

To accept the FY 1997 University Financial Report, as contained in Doc. T97-102. 

The next item for discussion was the FY1997 Capital Expenditure Report . Vice President Lenhardt 
reported that this is the first University comprehensive report on capital spending activity. This report 
will require ongoing refinement and is the beginning of another phase of reporting on University 
priorities and the resources applied to these activities. 

Vice President Lenhardt reported that the FY98 President's Reserve distributed some $2,000,000 to 
the campus reflecting priority areas of support for this year. 

The next two items on the agenda were Leases with UMASS Health System Realty and HEFA Loan. 
UMASS Worcester . Chair Fey stated that the Committee would vote to enter into Executive Session for 
these two agenda items related to real estate and further stated that the Committee would reconvene in 
open session at the conclusion of the discussion. 

It was moved, seconded and 

VOTED : To move into Executive Session to discuss leases in order to protect the University's 
negotiating position. 

Chair Fey voted for the motion as did Trustees Giblin, Karam, Lewenberg, Mahoney, Mihos and Tirrell. 

The Chancellors, Vice Presidents and Deputy Chancellor Stanton were asked to stay. 

At 1:30 p.m. the Committee returned to open session. It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To authorize and direct the President (who may subdelegate certain actions to the 
Chancellor), subject to approval by the Secretary of Administration and Finance, to take 
any actions necessary including filing statements required under Section 36C of Chapter 
75 of the General Laws and entering into leases with UMASS Health System Realty I 
Corporation to permit the Worcester campus to operate laboratories and various related 
health care programs and facilities at DBiotech I, 2) Auburn, and 3)the Worcester 



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Committee on Administration and Finance 
November 18, 1997 

Foundation as such operations and programs are in the best interests of the University 
and further the educational, research and clinical missions of the Worcester campus. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To authorize the President or his designee to take action necessary to obtain financing 
from the Series J Pool or other appropriate vehicles of the Massachusetts Health and 
Educational Facility Authority (HEFA) not to exceed $45,000,000.00 for the purpose of 
meeting the capital and cash needs of the Clinical Division of the Medical Center as 
described in Doc. T97-121. 

There being no further business to come before the Committee, the meeting adjourned at 1:30 p.m. 




Barbara F. DeVico 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
ATHLETIC COMMITTEE 

Tuesday, October 7, 1997; 2:00 p.m. 

Green Room 

Mullins Center 

University of Massachusetts 

Amherst, Massachusetts 

Committee and Committee Staff : Chair Bogan; Vice Chair Mihos; Trustees Bissonnette, Dubilo, 
Karam, Lewenberg, and Tremblay 

Committee Members Absent : Trustee Foley, Murray, and O'Leary 

Other Trustees : Trustee Tirrell 

University Administration : President Bulger; Vice President & General Counsel Kirby; Chancellors 
Cressy, Hogan, Penney and Scott; Athletic Directors Dowd, Marcum, Skinner and Titus 

Faculty Representative : Professor O'Connor 

Chair Bogan convened the meeting at 2:10 p.m. The first item on the agenda for discussion was 
Update - Athletic Activities, UMASS Amherst Boston, Dartmouth, Lowell . The Committee first 
heard from Mr. Skinner, Athletic Director from the Lowell campus. Mr. Skinner reported that the 
hockey arena will open sometime between December and January. An open house is being planned. 
The football /baseball field and the Campus Center are progressing as well. The new river walk is 
going to enhance the canal and river walkways and will be completed in eighteen months. The 
Lowell campus has won the first Peterson Cup awarded to the team that achieved the greatest overall 
success in team competition by the New England Collegiate Conference last year (named after Walter 
Peterson, former President of Franklin Pierce and former Governor of New Hampshire). 

Mr. Skinner reported on several matters - the Lowell campus has issued a River Hawk Report 
studying the programs, charting the future and listing seven recommendations that will enhance the 
quality of the experience of the student athlete. He mentioned LaLa Chin, who last year won the 
National Poster Contest. A Title IX plan has been approved, which will bring the campus in full 
compliance on funding issues by the year 2000. The Lowell campus has hired a full-time Women's 
Soccer Coach and a full-time assistant basketball coach to help advance the plan. The campus is 
waiting to hear about a $2 million allocation from the state as part of Title IX funds. In the meantime, 
$200,000 has been allocated to start work on facilities for women's programs. Finally, Shannon 
LeBlanc, a senior member of the field hockey team has been selected as one of the 24 national 
representatives to the Student Athlete Council. 

There was a question about changes to status in Division Hockey; Mr. Skinner reported that the 
campus is currently involved in evaluating options It is expected that a recommendation will be 
made in the spring. Chair Bogan inquired as to the number of athletic coaches on the Lowell campus; 
Mr. Skinner reported that there are currently 16 full-time coaches, and 26 full-time staff members. 

Mr. Titus from the Boston campus began his report by listing some of the services provided to 
constituents. He reported on Bob Greco, UMASS Boston football player who has become successful 
at track. There was an all American Luncheon hosted by Chancellor Penney. He mentioned the 









♦V 



Athletic Committee 
October 7, 1997 

success of the Beacon Fitness Center and that there is a complimentary ticket program available for 
members of the community. There are currently 25 different groups using the Clark Athletic Center. 
He also spoke of his recent trip to Africa. 

Mr. Titus reported that there are no full-time coaches but full-time teachers that coach. There was 
a question about how the allotted Title IX funds are being used - Mr. Titus responded that the Boston 
campus is at the end of a three year plan and a five year plan is in the works. He added that there has 
been a problem finding female coaches. There was a request that the new plan be brought back to 
this Committee. Chancellor Penney then commented on the success of the Beacon Fitness Center. 

Mr. Dowd from the Dartmouth campus reported that a high percentage of student athletes made 
the Dean's or Chancellor's list. The campus has started a student athlete academic action plan which 
encourages students, particularly freshman, to keep up with their academic work. There is underway 
this Fall, a full-fledged Title IX committee to report by the end of the second semester the 
development of an action plan. It was also reported that capital projects include outdoor field work. 

Chancellor Cressy reported that new alcohol policies have been instituted that clamp down on 
underage drinking. There has been an 77% reduction in "acting out" behavior in resident students of- 
age living in Cedar Dell apartments. In the underage drinking category, there has been a 33% 
decrease in "acting out" behavior. He acknowledged Mr. Dowd for his role through the sports 
program for these decreases. 

He also reported that the Hetlin Hockey rink is down due to the cooling system and will take a 
year and a half to fix. This has led to discussion about the UMASS Dartmouth building a hockey 
rink. While this is not a priority, the campus would consider it as a private enterprise. The 
Committee will be kept up-to-date on the subject. The Dartmouth campus has full-time coaches that 
have other responsibilities. 

Chancellor Cressy then gave an update on Status of the Search for Athletic Director, UMASS 
Dartmouth . A search Committee will be formed in November, it is expected that interviews will 
begin in the spring brining in a new director at the beginning of the fiscal year. 

On the question of coaches, Chair Bogan responded that it would be desirable to have full-time 
coaches in Division 3 sports, but it is a very expensive undertaking. He also requested that the rink 
issue be explored further on the Dartmouth campus. 

Mr. Marcum from the Amherst campus reported that USA Today recognized Amherst as one of 
the national leaders in Title IX, one of seven institutions in compliance. For the third straight year the 
Amherst campus has been very competitive in the Atlantic 10, winning the Commissioner's Cup and 
recognized as the best all-around athletic program in the conference. Eleven teams won their 
respective conference championships and the softball team made it to the College World Series. The 
Women's Crew team sent one team to the NCAA championship which finished second. 

He also reported that the astroturf at Garber Field will be in place by the end of October and 
looks to be a huge success as it will add a great deal to many athletic programs. He then mentioned a 
report on a study of the NCAA (six parts that deals with safety, issues, money, perks, enforcing the 
rules, etc.). This report can be obtained through the Internet. 

Trustee Lewenberg commented on the academic success in the Atlantic 10 Conference, and noted 
that the primary role with our athletic program is to support the academic mission of the campuses. 
He commended the athletic department's program with their success with student athletes. 

The next item was the Update on the Results of NCAA Basketball Investigation. UMASS 
Amherst . Chancellor Scott reported that the investigation into allegations regarding the basketball 



* 



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Athletic Committee 
October 7, 1997 

program involving violations made by a member of the team has been completed and accepted by the 
NCAA. The program received the maximum financial penalty. Additional allegations were made by 
a potential agent for a former basketball player. Mr. Marcum and his staff investigated these 
allegations but were unable to interview the people making the allegations and it proved impossible 
to substantiate the charges. 

Chair Bogan stated that the Committee would then vote to enter into Executive Session to discuss 
items related to the ongoing investigation and possible litigation and items related to University 
policy development, and real property. He further stated that the Committee would not reconvene in 
open session at the conclusion of the discussion. 

Chair Bogan voted for the motion as did Trustees Bissonnette, Dubilo, Karam, Lewenberg and 
Mihos. The time was 3:10 p.m. 

It was moved seconded and 

VOTED : To enter into Executive Session for the purpose of considering a matter related to an 
ongoing investigation and possible litigation, and items related to University policy 
development, and real property. 

Barbara F. DeVico 

Secretary to the Board of Trustees 




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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Tuesday, January 7, 1997; 3:00 p jn. 

Meeting Room A 

University of Massachusetts Medical Center 

55 Lake Avenue North 

Worcester, Massachusetts 

Committee and Committee Staff : Chair Giblin; Trustees Carter and Haynes (arrived late) 

Committee Members Absent : Trustees Arciero, Naughton, O'Leary and Poduska 

University Administration : Vice President Lenhardt; Vice Chancellors Page, Dars and 
Goodwin; Deputy Chancellors MacCormack and Stanton; Mr. Wolcott, Senior Director for 
Auditing and Fiscal Affairs; Mr. Lecnar, Internal Auditors 

Guests : Mr. Ingram and Mr. McBride, Coopers & Lybrand 

Trustee Giblin began the meeting at 3:02 p.m. and requested that the Audit schedule for 
1997 be revised eliminating the August meeting from the schedule. He then referred to item (c) 
on the agenda to accommodate representatives from Coopers & Lybrand, Mr. Ingram and Mr. 
McBride. The Committee then heard from Mr. Ingram regarding the Report on Federal 
Financial Assistance Programs in Accorda nce with O MB Circular A-133. It was reported that 
the University during FY96, received approximately $150 million in federal financial 
assistance and that the audit and the findings were in accordance with federal audit 
requirements. Mr. Ingram indicated that the audit went very well from their perspective and 
this was echoed by Mr. Wolcott. 

It was moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda: 

Report on Federal Financial Assistance Programs in Accordance with OMB 
Circular A-133 

Mr. Wolcott then announced that Mr. McBride has taken a new position at General Electric 
and thanked him for his work with the University and wished him success with his future. 
The Committee voiced these wishes as well. 

The next item was the Clinical Services Division Management Letter, UMASS Worcester. 
Mr. Wolcott reported that this is a final product of the Annual Audit done by Ernst & Young for 
the organizations which are included in the Clinical Division: the Teaching Hospital, Group 
Practice Plan and the Self-Insurance Trust. Mr. Wolcott mentioned the impact the year 2000 
may have on the Information Systems due to processing of transactions with two digits for a 
year ("96 for 1996) rather than a full four digits ("2000"). It is expected that the appropriate 
changes to software programs will be implemented prior to the end of 1999. 






Audit Committee 
January 7, 1997 



It was moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda 

Clinical Services Division Management Letter, UMASS Worcester 

The next item on the agenda was the Division of Continuing Education. Financial 
Statements and Auditor's Report and Management Letter. UMASS Boston . Mr. Wolcott 
reported that the Division had developed and implemented a policy on accounts receivable 
collections based on a recommendation from last year's management letter. In terms of the 
financial statements, revenues increased modestly, expenditures decreased and the operating 
surplus increased compared to the prior year's results. However, the fund balance decreased 
due to non-mandatory transfers. 

It was moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda 

Division of Continuing Education, Financial Statements and Auditor's Report 
and Management Letter, UMASS Boston 

The next item on the agenda was Survey of the Auxili ary Services Depart ment. UMASS 
Amherst . Mr. Wolcott reported that the department is currently undergoing significant changes 
in its structure and is updating its business practices. While trying to control costs they are also 
trying to control charges to the student body. Mr. Lecnar then informed the Committee of the 
procedures used to conduct this survey. Vice Chancellor Page reported on the activities being 
implemented to resolve some of the issues that came up such as purchasing and installing new 
software that will service operating units. 

There was then a discussion involving the need to operate as a service to the campus versus 
the need to operate as a profit-generating activity and the effects on the students and the 
employees. Additionally, the need for appropriate employee input into the budget process as 
well as general operational and strategic issues were discussed. 

It was moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda: 

Survey of the Auxiliary Services Department, UMASS Amherst 

The next item on the agenda was an informational item, the University Auditor's Office 
Status Report . Mr. Wolcott indicated that there are a number of projects currently underway: 
through the Administrative Redesign recommendations the campuses are in the process of 
developing a statistically valid sampling system for travel and purchase card applications. 
Work with representatives from a major accounting firm and senior management is on-going at 
the Medical Center developing options for a campus-wide corporation compliance program. He 
also mentioned that a review of controls over the transmission of data from the Amherst 
campus to the federal direct student loan program is taking place and the campus financial aid 
office has been encouraged to complete its correction of erroneous information. 



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Audit Committee 
January 7, 1997 



There being no further business to come before the Committee, the meeting adjourned at 4:00 



p.m. 




Mr- oL {h Q ^Ol 



Barbara F. DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Tuesday, March 18, 1997; 3:00 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff: Chair Giblin; Vice Chair Naughton; Trustees Carter, 
Haynes, O'Leary and Poduska 

Committee Members Absent : Trustee Arciero 

University Administration : Vice President Lenhardt; Vice Chancellors Page and Dars; Deputy 
Chancellors MacCormack and Stanton; Mr. Wolcott, Senior Director for Auditing and Fiscal 
Affairs; Mr. Lecnar, Senior Auditor 

Guests : Mr. Gabranski, Coopers & Lybrand 

Trustee Giblin convened the meeting at 3:10 p.m. The first item on the agenda was the 
Consideration of Minutes of the Prior Meeting of the Committee . 

It was moved, seconded and 

VOTED : To approve the minutes of the January 7, 1997 meeting of the Committee. 

The next item was the Management Letter, FY96 University General Purpose Financial 
Audit by Coopers & Lybrand . Mr. Gabranski from Coopers and Lybrand distributed an 
assessment of internal controls and reported that all reportable conditions have been addressed. 
Mr. Gabranski identified some of the comments made regarding the audit and noted that some 
of the prior year's comments remain to be addressed due to the need for new or enhanced IT 
systems. Other prior year comments have been prioritized and are being addressed. 

Trustee Haynes commented on the section of the report that states the need for the 
development of a comprehensive accounting policies and procedures manual which would 
improve communication between management, staff, campuses and the Central Administration. 
Mr. Wolcott responded that the there have been staffing limitations in the University 
Controller's office due to the unavailability of resources. 

Vice President Lenhardt reported that as part of the Administrative Redesign process a 
steering committee led by Chancellor Hogan has been established and is looking at the need for 
an administrative accounting system. Trustee Haynes noted his concern that management is 
doing all that can be done under the circumstances and that proper procedures are being 
implemented to ensure the University's financial accounting system is being maintained to the 
best of its ability. 



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Audit Committee 
March 18, 1997 



It was moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda: 

Management Letter, FY96 University General Purpose Financial Audit (Doc. 
T97-028) 

The next item was the University Health Services (Student Health Trust Funds) Financial 
Statements. June 30. 1996 by KPMG Peat Marwick and the University Health Services 
(Su pplemental Health Benefits Plan Trust Fund) Financial Statements. June 30. 1996. by KPMG 
Peat Marwick . Mr. Wolcott reported that both the Student Health Trust Funds and 
Supplemental Health Benefits Plan financial statements received unqualified opinions from 
the auditors and were in sound financial condition. 

Trustee Carter asked why a student already insured under their parent's plan is required to 
pay the health fee. Vice Chancellor Page responded that all students are charged a basic 
health fee to cover the costs of University Health Services. The fee for supplemental insurance 
is charged only to those students who have no other health insurance and is required by state 
law. Trustee Haynes questioned why all investment earnings from available UHS cash 
balances are used for the benefit of the University and not the UHS. Vice Chancellor Page 
responded that this is a long-running debate. University policy is to return investment earnings 
to the campus responsible for those earnings. However, each campus has the discretion to 
allocate those funds as it sees fit. 

Trustee Haynes then asked for a status report about Mr. Essler. Mr. Wolcott reported that 
Mr. Essler, taken into custody in Nevada, had been returned to Massachusetts for prosecution 
and would likely remain imprisoned until his trial. It is also unlikely that Mr. Essler has any 
assets left so that the University is unlikely to recover any funds. 

It was moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda 

University Health Services (Student Health Trust Funds) Financial 
Statements, June 30, 1996 (Doc. T97-029) 

And further, 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda 

University Health Services (Supplemental Health Benefits Plan Trust Fund) 
Financial Statements, June 30, 1996 (Doc. T97-030) 

The next item on the agenda was the Review of Operations at the Top of the Campus, Inc., 
UMASS Amherst . Mr. Wolcott asked Mr. Lecnar for comments on this review. Mr. Lecnar 
reported that the purpose of this review was to assess the adequacy of the internal controls 
over the receipts and expenditures of the organization. Trustee Haynes then requested a 
follow-up report of this audit showing that the current management situation has begun to 



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Audit Committee 
March 18, 1997 



correct itself. Mr. Wolcott and Vice Chancellor Page reported that some of the issues have 
been resolved and there will be a follow-up report ready before the next Audit meeting. 

It was moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda: 

Review of Operations at the Top of the Campus, Inc., UMASS Amherst (Doc. 
T97-026) 

The next item was the Review of Operations of the Faculty Club, Inc.. U MASS Amherst . 
Mr. Lecnar reported that a review of procedures for the receipts, recording and depositing of 
sales and dues revenues resulted in a number of recommendations for improvements. 

The Committee requested that a follow-up to this report be done and the results be reported 
at the next Audit Committee meeting. 

It was moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 
Agenda: 

Review of Operations of the Faculty Club, Inc., UMASS Amherst (Doc. T97- 
033) 

The next item on the agenda was an informational item, the University Auditor's Office 
Status Report . Mr. Wolcott provided the Committee with an update of the current projects in 
the auditor's office. Some of the issues discussed included the following: the IS directors on all 
campuses are assessing the risk and exposures to systems when the year 2000 is reached; the 
Clinical Management Board Finance Committee has approved the Corporate Compliance 
Program at UMASS Worcester; there is a review over controls of the transmission of data from 
the Amherst campus to the federal agency making collections, the campus financial aid office 
will complete its correction of erroneous information. 

He further reported that there had been a review of certain fee-for service accounts in the 
college of Natural Sciences and Mathematics at the Amherst campus. The General UMASS 
Amherst Audit being conducted by the Office of the State Auditor is continuing and includes 
work in regard to trust funds, athletics' travel expenses and other business expenses. 

Mr. Wolcott reported that the University's A-133 Audit report would soon be available on 
the state comptroller's Internet home page. 

There being no further business to come before the Committee, the meeting adjourned at 4:17 
p.m. 



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Barbara F. DeVico 
Staff Assistant 



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1 






UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Tuesday, July 8, 1997; 3:00 p.m. 

Meeting Room A 

University of Massachusetts Medical Center 

55 Lake Avenue North 

Worcester, Massachusetts 

Committee and Committee Staff : Chair Giblin; Vice Chair Naughton 

Committee Members Absent : Trustees Haynes and O'Leary 

Other Trustees : Trustee Murray 

University Administration : Vice President Lenhardt; Attorney Haskell, Vice Chancellor 
Goodwin; Deputy Chancellors MacCormack and Stanton; Mr. Wolcott, Senior Director for 
Auditing and Fiscal Affairs; Mr. Granfield, Mr. Harrison and Mr. Lecnar, University Auditors; 
Mr. Sullivan, Director of Finance, UMASS Amherst; Mr. Demers, Internal Audit Manager; Ms. 
Sullivan, Controller, UMASS Dartmouth; Ms. Wanczyk, University Controller 

Guests : Ms. Doiron, Mr. Gabranski and Mr. Ingram, Coopers and Lybrand 

Chair Giblin called the meeting to order at 3:00 p.m. The agenda was taken out of order, 
beginning with discussion item number one, FY1997 University General Purpose Financial and 
OMB A-133 Audits . Mr. Wolcott introduced Mr. Gabranski, Mr. Ingram and Ms. Doiron from 
Coopers and Lybrand. Mr. Gabranski began by distributing a 1997 Report "Audit Scope and 
Approach." He reported that the approach and procedures conducted by Coopers & Lybrand 
focused on control environment, external factors, the role of internal audits and the accounting 
systems and internal controls. Ms. Doiron reported on the different levels of review: full scope, 
limited scope and special procedures and the scope of each campus as well as the Central 
Administration. 

Mr. Gabranski then reported on the Governmental Accounting Standards Board (GASB) 
standard concerning affiliated organizations. He discussed how the University's Foundation 
met the GASB definition of an affiliated organization and its effect on the University's 
financial statements. In the future the Foundation will be included in the reporting but 
separately presented. 

Deputy Chancellor Stanton reported that the Worcester City Campus Corporation would 
not be included in the fiscal 1997 financial statements due to the pending merger with Memorial 
Hospital. It is believed that including the corporation for one year only would be misleading, 
especially in future years. 

There was then a discussion surrounding the reporting of the financial statements; the 
University's published financial statements will be different under the proposed accounting 
standards effective for the fiscal 2001 financial statements. Ms. Wanczyk explained that 
preparing financial statements under the proposed standard would be very difficult for a multi- 
campus system. She further reported that the State Comptroller is opposed to the proposed 
standard and has requested the University and state colleges support his opposition to the 
proposed standard and submit their comments on the standard to him. Chair Giblin requested 



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Audit Committee 
July 8, 1997 

that Ms. Wanczyk send a copy of her response to the State regarding this issue, to him and to 
keep him and the Committee members apprised of the situation. 

Ms. Doiron and Mr. Ingram reported on the OMB Circular A-133 approach discussing the 
objective and timing, the work toward the goals and the results; A-133 developments included a 
single audit process, coverage of federal expenditures and audit threshold and reporting. There 
was a brief discussion surrounding the coverage of federal expenditures based upon low versus 
high audit risk. The low risk auditee coverage has been reduced to 25% of federal 
expenditures. 

The next item on the agenda was the Consideration of Minutes of the Prior Meeting of the 
Committee . 

It was moved, seconded and 

VOTED : To approve the minutes of the March 18, 1997 meeting of the Committee. 

The next item was the Limited Scope Review of the Medical Center Cafeteria and Selected 
Related Operations, UMASS Worcester . Mr. Granfield reported that there had been an 
examination of the policies, procedures, practices and controls as they applied to the Cafeteria 
operations, inventory management and general administrative practices. Several corrective 
actions have been taken in response to the recommendations made in the Interim Report issued 
in November of 1995 and there has been substantive improvement. 

The next item was the Review of the Auxiliary Services Food Concessions Operations, 
UMASS Amherst, to assess the adequacy of the internal controls over cash receipts. Mr. Lecnar 
reported that this report touched on a few matters that needed to be addressed and cited Mr. 
Richard Ellis, Manager of Food Services, and his staff for their high standards of performance. 
It was pointed out that Mr. Ellis is due to retire soon and that there will be a realignment of the 
departments. There had also been a review of the Ogden Entertainment Services which 
manages the Mullins Center and a recommendation had been made to have a formal agreement 
signed and executed to avoid confusion as to the source, dollar amount and circumstances 
involving revenues received by Auxiliary Services Concessions. 

The next item on the agenda was the Follow-Up Review of Operations at the Top of the 
Campus, UMASS Amherst . Mr. Lecnar reported that this follow-up report was taken in 
response to a previous report. It was determined that five recommendations from the last report 
have been fully implemented, two partially implemented and one required no further action. 

The next item was the Follow-Up Review of Operations at the Faculty Club, Inc., UMASS 
Amherst . Mr. Lecnar reported that this report was also a follow-up and indicated that 
Auxiliary Services management has addressed the issues within their jurisdiction and 
implemented corrective actions. In addition, campus management is working with the Faculty 
Club to ensure that all other issues are completely resolved in the near future. 

The next item on the agenda was the Contractual Compliance Review of the Mullins Center 
Operations, UMASS Amherst . Mr. Wolcott reported that the purpose of this review was to 
assess the adequacy of current oversight functions of the Mullins Center operations to assure 
adequate internal controls are being maintained. Mr. Lecnar reported that in general, the 
review disclosed a closely supervised operation with supporting oversight provided by Ogden 
Services and a number of sources. Several recommendations were made to enhance procedures 
currently in place. 



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Audit Committee 
July 8, 1997 

The next two items, NCAA Agreed-Upon Procedures Report, Department of Athletics, 
FY1996. UMASS Amherst and NCAA Agreed-Upon Procedures Report. Minuteman Court Club 
and Related UMASS Athletic Fund Records. UMASS Foundation. FY1996. UMASS Amherst 
were reported on by Mr. Wolcott. He reported that the Statement of Revenues and Expenditures 
of the Intercollegiate Athletic Department is in compliance with the NCAA By-Laws. 
Evaluation for all the departments involved reported positive results. Trustee Naughton 
inquired about the statement of revenues and expenditures showing state appropriated salaries 
as operating revenue as well as the University scholarship allocation. It was explained that 
this was in conformity with generally accepted accounting principles and was necessary to 
completely reflect all revenues and expenditures of the department. 

Chair Giblin then called on Mr. Wolcott to give the University Auditor's Status Report as 
of June 20, 1997 . Mr. Wolcott reported that the audit staff compiled responses to a state audit 
office survey for the Year 2000. The survey was to assess risk and exposures to information 
systems when 2000 is reached. Mr. Wolcott also reported that the Administrative Redesign 
Program now included audit operations. Operations were being reviewed and discussed with 
consultants and campus representatives and a report would be issued by the consultants in the 
near future. He also reported that University Auditors are continuing to implement the 
approved Corporate Compliance Program at the Worcester campus and are working with 
representatives from major accounting firms and the General Counsel's office. 

Mr. Wolcott also mentioned that the General UMASS Amherst audit being conducted by 
the Office of the State Auditor is continuing and includes work in regard to trust funds. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following University Audit Reports on 
the Board Consent Agenda: 

Limited Scope Review of the Medical Center Cafeteria and Selected Related 
Operations, UMASS Worcester (Doc. T97-057) 

Review of the Auxiliary Services Food Concessions Operations, UMASS 
Amherst (Doc. T97-058) 

Follow-Up Review of Operations at the Top of the Campus, UMASS Amherst 
(Doc. T97-059) 

Follow-Up Review of Operations at the Faculty Club, Inc., UMASS Amherst 
(Doc. T97-060) 

Contractual Compliance Review of Mullins Center Operations, UMASS 
Amherst (Doc. T97-061) 

And further, 

VOTED : To recommend that the Board accept the following External Audit Reports on 
the Board Consent Agenda: 

NCAA Agreed-Upon Procedures Report, Department of Athletics, FY1996, 
KPMG Peat Marwick, UMASS Amherst (Doc. T97-062) 



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Audit Committee 
July 8, 1997 

NCAA Agreed-Upon Procedures Report, Minuteman Court Club and Related 
UMASS Athletic Fund Records, UMASS Foundation, FY1996 KPMG Peat 
Marwick, UMASS Amherst (Doc. T97-063) 

University Auditor's Office Status Report as of June 20, 1997 (Doc. T97-064) 

Chair Giblin then made a motion to enter into Executive Session to discuss charges of 
criminal misconduct. It was moved, seconded and 

VOTED : To enter into Executive Session for the purpose of discussing charges of criminal 
misconduct. 

Chair Giblin voted for the motion as did Trustee Naughton. Chair Giblin stated that the 
Committee would not reconvene in open session. The time was 4:32 p.m. 



h<jDA*>-k^ 



Barbara F. DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Wednesday, September 17, 1997; 2:00 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff: Vice Chair Giblin; Trustee Tirrell 

Committee Members Absent : Trustees Haynes, Naughton and O'Leary 

Other Trustees : Trustee Murray 

University Administration : Vice President Lenhardt; Associate Counsel Bench; Vice Chancellors 
Goodwin and Page (via Video Conference); Deputy Chancellor Stanton; Mr. Wolcott, Senior Director 
for Auditing and Fiscal Affairs; Ms. Sullivan, Controller, UMASS Dartmouth 

In the absence of Chair Naughton, Vice Chair Giblin convened the meeting to order at 2:05 p.m. 

The first agenda item was the Consideration of Minutes of the Prior Meeting of the Committee . 

It was moved, seconded and 

VOTED : To approve the minutes of the July 8, 1997 meeting of the Committee. 

At Vice Chancellor Page's request, the next item was taken out of order of the agenda, 
Management Letter. University Health Services and Supplemental Health Benefits Plan, FY96, 
UMASS Amherst . Mr. Wolcott reported that this management letter resulted from the financial 
audit of University Health Services at the Amherst campus. Trustee Giblin had a question about 
some of the UHS account receivables being five months overdue. Mr. Wolcott noted that the 
management letter had recommended UHS focus additional resources on collection efforts, 
strengthening controls over collections. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 

Agenda: 

Management Letter, University Health Services and Supplemental Health 
Benefits Plan, FY96, UMASS Amherst (Doc. T97-083) 

The next item for action was the Follow-up Audit Vehicle Fuels Control Survey. UMASS 
Amherst Mr. Wolcott reported that this was a follow-up report and that prior recommendations 
either had been addressed or were in the process of being addressed. 

Vice Chancellor Page reported on the need to acquire new monitoring software for fleet 
applications that include controls that restrict the amount, frequency and type of product delivered. 



Audit Committee 
September 17, 1997 

Mr. Wolcott reported further that the University's Tax Manager is acquiring information on fuel 
consumption and fuel taxes paid in order to draft a University-wide policy on fuel taxes. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 

Agenda: 

Follow-up Audit, Vehicle Fuels Control Survey, UMASS Amherst (Doc. T97-Doc. 
T97-080) 

The next item was the University Auditor's Office Status Report as of August 29. 1997 . Mr. 
Wolcott reported on several events and issues including: 

•a new position in the Audit department established at the Dartmouth campus devoted solely to 
campus audit projects; 

• the Audit department has compiled responses to a state audit office survey for the issues we 
will face as the Year 2000 approaches; 

•continuing participation in the development and implementation of the University-wide 
Purchase Card and Travel Projects; 

•University Audit operations were reviewed as part of the Administrative Redesign process; a 
final report has been received from the consultant; 

•cash control audits are ongoing, most recently a count was carried out at the Bursar's Office at 
Amherst and it was discovered that a number of issues need management's attention; 

•a University- wide improper acts reporting policy is under development; 

• the Massachusetts Biological Laboratory Merger, UMASS Worcester; 

•development of a campus- wide corporate compliance program at the Worcester campus; 

•the General Audit of the Amherst campus being conducted by the Office of the State Auditor 
has been completed. 

Mr. Wolcott then described some of the controls over cash in place at the Bursar's Office on the 
Amherst campus. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 

Agenda: 

University Auditor's Office Status Report as of August 29, 1997 (Doc. T97-082) 

The next item was the University Auditor's Office Three Year Audit Plan . Mr. Wolcott reported 
on the effect of the proposed merger between the Worcester campus and the Memorial Hospital and 
how the role of the Auditor's office will need to be carefully evaluated with the annual plan being 
adjusted as necessary. 



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Audit Committee 
September 17, 1997 

Mr. Wolcott then directed the Committee members to the list of audits planned for Fiscal Years 
1998, 1999 and 2000 including Internal Controls System Audits, Non-State Funds Audits, Specific 
Purpose Audits, University Medical Center Audits, Follow-Up Audits and External Audit Reports 
and Coordination Reports. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Report on the Board Consent 

Agenda: 

University Auditor's Office Three Year Audit Plan FY1998, FY1999, FY2000 (Doc. 
T97-081) 

There being no further business to come before the Committee, the meeting was adjourned at 2:55 
p.m. 



Barbara F. DeVico 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 



AMHERST •BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Tuesday, November 18, 1997; 1:00 p.m. 

Board Room 

One Beacon Street , 26th Floor 

Boston, Massachusetts 

Committee and Committee Staff : Chair Naughton and Trustee Tirrell 

Committee Members Absent : Trustees Giblin, Haynes and O'Leary 

University Administration : Mr. Bench, Associate Counsel; Vice President Lenhardt; Chancellor 
Penney; Vice Chancellors Page, MacCormack, and Goodwin; Deputy Chancellor Stanton; Ms. 
Sullivan, UMASS Dartmouth; Ms. Wanczyk, University Controller; Mr. Wolcott, Senior Director for 
Auditing and Fiscal Affairs 

Guests: Coopers & Lybrand: Mr. Gabranski; Ernst & Young: Mr. Elam 

Chair Naughton convened the meeting at 1:20 p.m. 

The first item on the agenda was Consideration of Minutes of the Prior Meeting of the 
Committee . It was moved, seconded and 

VOTED : To approve the minutes of the September 17, 1997 meeting of the Committee. 

The next item on the agenda was the FY1997 University Financial Statements . The Committee 
reviewed the University's FY97 Financial Statements with John Gabranski from Coopers and Lybrand 
and voted to accept the statements. 

The next item on the agenda was FY1997 Clinical Services Division Financial Statements, 
UMASS Worcester . Robert Elam of Ernst & Young then presented the FY97 Clinical Services 
Financial Statements. After a discussion of the technical qualification of the opinion, the Committee 
voted to accept the statements. 

The next item was the University Auditor's Office Status Report as of October 31, 1997 . Mr. 
Wolcott provided the Committee with an update of the current projects in the auditor's office. Of 
particular interest was the discussion at the recent University Administrative Conference 
surrounding the Year 2000 issue and the affect this will have on the University's Information Services. 







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Audit Committee 
November 18, 1997 



It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Reports on the Board Consent 

Agenda: 

FY1997 University Financial Statements, Coopers & Lybrand (Doc. T97-102) 

FY1997 Clinical Services Division Financial Statements, UMASS Worcester (Doc. 
T97-117) 

University Auditor's Office Status Report as of October 31, 1997 (Doc. T97-115) 

There being no further business to come before the Committee, the meeting was adjourned at 2:10 



p.m. 



Barbara F. DeVico 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON •DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, February 5, 1997; 9:15 a.m. 

Chancellor's Conference Room 

University of Massachusetts 

Boston, Massachusetts 

Trustees : Chair Karam; Trustees Andriolo, Arciero, Bissonnette, Bogan, Carter, Croft, Fey, Flores, Foley, 
Haynes, Hoff, Kraft, Lewenberg, McNeil, Mihos, Naughton, O'Leary, Poduska, Spence and Sweeney 

Trustees Absent : Trustee Giblin 

University Administration : President Bulger; Vice President and General Counsel Kirby; Chancellors 
Cressy, Hogan, Penney and Scott; Deputy Chancellor Stanton 

Faculty Representatives : Professors Carroll, Phelan, Singh and Cooke 

Guests : Mr. Earle P. Charlton 

Chair Karam convened the meeting at 9:15 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meetings of the Board. 

It was moved, seconded and 

VOTED : To approve the minutes of the December 3, 1996 and December 4, 1996 meetings of the 
Board. 

As part of the Chair's Report . Chair Karam thanked Chancellor Penney for the success of last night's 
dinner with members of distinguished faculty. He also mentioned the presentation by Chancellor Penney 
at today's breakfast highlighting the campus' restructuring efforts which included the high technology 
Learning Center which can be used by both students and faculty. 

The next item on the agenda was the President's Report . President Bulger thanked Chancellor 
Penney for the positive experience at dinner and mentioned that Chancellor Cressy will introduce Mr. 
Earle Charlton later on in the meeting. He then talked about the high school visits he and Vice President 
Botman had conducted. The response has been very heartening, positive and upbeat. He also mentioned 
the University Scholars Program which seeks to encourage students to apply for the full scholarship to 
Massachusetts high school students ranked first or second in their classes. 

The President also mentioned the faculty high school visits and alumni breakfasts to help with 
recruitment efforts. He reported on commercial ventures and intellectual property issues discussed at 
yesterday's Committee of the Whole meeting. The success in this area lies in the outstanding quality of 
our faculty on each of the campuses. Their efforts and those of the staff at the office of Commercial 
Ventures and Intellectual Property are generating useful inventions, producing new income for the 
University and contributing to the economy of the Commonwealth. 

The President then commented on tuition and fees. He announced that for the second year in a row 
the student charges will be decreased for three of the four undergraduate campuses. Overall tuition and 
mandatory fees will decline by 1.1% for academic year 1997. He reiterated the fact that the cost of 



Board of Trustees 
February 5, 1997 

attending the University can be a daunting concern of many students and should not be allowed to 1* 

prevent qualified students from pursuing their academic careers at the University. To that end the 
University is offering the University Scholars Program and the Commonwealth Scholars Program as well 
as channeling funds into need-based financial aid programs. Since 1989/1990 the University's 
contribution to the financial aid pool that goes directly to the students at the Amherst, Boston, Dartmouth 
and Lowell campuses has grown from $1.8 million to $17 million. It is hoped that the University will be 
able to reduce costs further, a goal influenced by many factors including the national and regional 
economy and state support. The University will continue its work providing the highest academic 
quality at the lowest possible price. 

Chancellor Penney then presented the Boston Strategic Action Plan. She first reported on Five Facts 
about UMASS Boston: 1) Enrollment - 11,737 students; 2) Faculty - 735 full and part time; 3) there are nine 
doctoral programs; 4) Infrastructure Projects include the new Campus Center and Environment Center; 5) 
External Funding (grants and contracts) total $15,600,000. Some of the highlights from the plan included: 

•Continue to be in the fore front of finding new ways to teach as presented earlier in the Learning 

Center; 
•Continue higher Freshman graduation rates than those of peer institutions; 
•Improve the success of students going on to graduate school as well as freshman and transfer 

retention rates 
•Continue to offer specialized services to the businesses, policy makers and citizens of Boston 
•Continue the Chancellors' Great Cities Advisory Board 
•Strengthen the commitment to economic development initiatives developing corporate partnerships 

serving the educational and research needs of Boston's business and labor communities 
•Continue the success of the Doctoral programs 
•Increase grant monies 
•Increase Capital Projects and repairs 

•Support the annual fundraising goal - $50 million aggregate by 2001 
•Establish regular alumni publications and expansion of staff and services in the development office; 

increase alumni participation in the annual fund by 10% each year, increase the unrestricted 

revenue in that fund by 15%. 

Chancellor Penney then reported that to reach these goals the campus will 1) continue to re-allocate at 
3% per year; 2) assume stabilization of the growth of 4.1% in-state allocations; 3) reach goals of First 
Campaign of $50 million which will help achieve the goals in this plan; 4) increase enrollment and 5) keep 
fee increases at or below rate of inflation. 

She asked for the Trustee's help to spread the word of the University's quality, to tell legislators and 
the Governor what their investment is accomplishing. There was then a brief presentation highlighting 
the students, faculty, alumni and staff that make this campus such a success. 

Following the presentation, Chair Karam thanked Chancellor Penney and introduced the Consent 
Agenda . It was moved, seconded and 

VOTED : To approve the following votes listed as items #a-d, on the Board Consent Agenda: 

a. Clinical Management Board Minutes. October 17. 1996 (Doc. T97-020) 

1. Clinical Management Board Minutes. September 26. 1996 



To approve the minutes of the September 26, 1996 Clinical Management Board 
meeting as recorded. 






Board of Trustees 
February 5, 1997 



2. Report of the Finance Committee 

To approve the Report of the Finance Committee. 

3. Unaudited Financial Statements for September, 1996 

To approve the Unaudited Financial Statements for September, 1996. 

b. Clinical Management Board Minutes. November 21. 1996 

1. Clinical Management Board Minutes. October 17. 1996 

To approve the minutes of the October 17, 1996 Clinical Management Board meeting 
as recorded. 

2. Report of the Finance Committee and the Unaudited Financial Statements for 
October. 1996 

To approve the Report of the Finance Committee and the Unaudited Financial 
Statements for October, 1996. 

3. Cafeteria Reconstruction 

To approve Option 1 with a budget of $18,683,250 along with up to $10 million 
approved for cafeteria reconstruction, pending return with final plan. 

c. Committee on Admi nistration a nd Finance - January 22. 1997 

1. University Travel Pol icy (Doc. T9 2-031. Appendix B. as revised) 

To rescind the Employee Travel Policy and Guidelines in Appendix B of Doc. T92-031 
as revised on June 7, 1995, and adopt in place thereof the Travel Policy designated as 
"Amendment No. 3". Further, to require the President to file copies of all guidelines, 
and requirements adopted pursuant to said Travel Policy with the Secretary of the 
Board of Trustees before such guidelines become effective. 

2. Policy Statement on Electronic D ata Security. Electronic Mail and Computer Policy 
Development (Doc. T97-010) 

To approve the Policy Statement on Data Security, Electronic Mail, and Computer 
Policy Development as contained in Doc. T97-010, provided, that all policies or 
guidelines adopted pursuant to said Policy Statement shall be filed with the Secretary 
of the Board of Trustees before becoming effective. 

3. Delegations of Autho rity to Univ ersity Treasurer (Doc. T97-014) 

To affirm that the Treasurer of the University of Massachusetts shall, in the absence 
of particular delegations to the contrary and under the general oversight of the 
President, be the general contracting officer of the University, with authority to 
delegate such capacity to an employee of the University as he deems appropriate, 
and shall have particular responsibility for the following: 



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Board of Trustees 
February 5, 1997 



1. Custody and fiduciary responsibility of the University's endowment funds 

2. Investment of University cash in accordance with the Trustee approved 
Investment Policy 

3. Acquisition of and sale of real estate on behalf of the University 

4. Financial relationship with the University of Massachusetts Building Authority 

5. Official signatory for University checks 

6. University banking relationships including control of opening and closing bank 
accounts 

7. Fire, casualty and liability insurance 

8. Optional employee benefits including 403(b) and deferred compensation 
programs 

9. Contract and grant signatory 

10. Tax Matters 

Further, to affirm that, except as to matters governed by the University of 
Massachusetts Intellectual Property Policy (Doc. T96-040), the Treasurer of the 
University of Massachusetts or his designee shall be the sole contracting officer of the 
University with the authority to execute all contracts, grants, restricted gifts 
(excluding endowments), and amendments thereto for sponsored programs in 
instruction, research, or public service, unless and until otherwise voted by the Board 
of Trustees. 

And further, to authorize the Treasurer or his designee to invest and reinvest surplus 
cash of the University of Massachusetts as directed by the Investment Policy; to sell 
securities received by the University or in the name of the Trustees of the University 
regardless of value, depositing the proceeds to appropriate accounts; to make 
deposits in and withdrawals from the accounts in the name of the University; and 
sign or endorse in the name of the University official documents and vouchers, 
including checks, drafts, letters of credit, certificates of deposit and withdrawal 
orders as require the signature of the financial officer of the University. 

4. Campus Center. UMASS Lowell (Doc. T97-007) 

In accordance with the Land and Facilities Use Planning Policy (Doc. T93-122), to 
approve the preliminary proposal for the design and construction of a Campus 
Center at the Lowell campus for an estimated cost of $12,000,000 ($7,000,000 of which 
is to come from funds made available to the campus by the University of 
Massachusetts Building Authority and $5,000,000 of which is to be provided by the 
Commonwealth) as described in Doc. T97-007 and, further, to authorize the 
Chancellor of the Lowell campus to proceed to take the necessary steps to begin the 
design process, provided that the President and Chancellor shall provide regular 
reports to the Board on the progress of said project. 



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Board of Trustees 
February 5, 1997 

5. Future Increase in Operating Fee. UMASS Lowell (Doc. T97-008) 

To approve an increase in the Operating Fee at the University of Massachusetts 
Lowell of $45 per semester effective the first semester of operation of the Lowell 
Campus Center (anticipated to be during Fiscal Year 2000) in order to pay for the 
operations of the new Campus Center. 

6. Establishment of Quasi-Endowment (University of Massachusetts Boston 
Undergraduate Student Senate Endowment) (Doc. T97-009) 

To establish a new quasi-endowment for the Boston campus, to be named "The 
University of Massachusetts Boston Undergraduate Student Senate Endowment." 
Further, to authorize the President or his designee to request the University of 
Massachusetts Foundation to manage this endowment on behalf of the University. 
Interest from this endowment shall be transferred annually to the Chancellor of the 
Boston campus or her designee for expenditure. Such expenditures from the interest 
generated from said endowment shall be restricted to providing scholarship funds 
for undergraduate students at the Boston campus and shall be subject to the 
University of Massachusetts Foundation Spending Rate Policy. Further, to approve 
the Transfer of $36,366 from revenues generated from student locker rentals, game 
room proceeds and the Wits End Cafe, and $65,000 from the Student Activity Trust 
Fund to said endowment, for a total of $101,366. 

7. Public Safety Facilities. UMASS Dartmouth (Doc. T97-019) 

In accordance with the Land and Facilities Use Planning Policy (Doc. T93-122), to 
approve the proposal for the design and construction of renovations to the 
Department of Public Safety facilities at the Dartmouth campus for an estimated cost 
not to exceed $200,000, as described in Doc. T97-019; and further, to authorize the 
President to request the University of Massachusetts Building Authority to initiate 
said project pursuant to the resolution of this Board voted on April 5, 1995. 

d. Audit Committee - January 7. 1997 

•Audit Reports 

1. Clinical Services Division Management Letter. UMASS Worcester (Doc. T97-001) 

2. Division o f Continuing Education. Financial Statements and Auditor's Report and 
Management Letter. UMASS Boston (Doc. T97-002) 

3. Report on Federal Financial Assistance Programs in Accordance with OMB 
Circular A-133 (Doc. T97-003) 

4. Audit Report No. 97 - 3. Survey of the Au xiliary Services Department. UMASS 
Amherst (Doc. T97-OQ4) 

The next item on the agenda was the report of the Committee on Academic and Student Affairs . 
Trustee McNeil first reported on the B. A. in American Stu dies. University of Massachusetts Boston 
(Stage I & II combined) and spoke of its high quality focusing on diversity and multi-culturalsim. 

It was moved, seconded and 



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r 



Board of Trustees 
February 5, 1997 

VOTED : To approve the Stage I and II consolidated proposal for a B.A. in American Studies at the 
University of Massachusetts Boston, as contained in Doc. T97-015. 

Trustee McNeil reported that A ppointments with Tenure, University of Massachusetts Amherst,, 
University of Massachusetts Worcester a nd Awards of Tenure. Universi ty of Massachusetts Amherst 
would be discussed in Executive Session later in the meeting. 

Trustee McNeil reported on the Enrollment Management Report and thanked the campuses for their 
work. There had been an extensive discussion focusing on two items: 1) interface of policy and 
implementation and 2) the context and format of reports brought to the Committee. It is expected that in 
early Fall, there will be an update to the Enrollment Report clearly articulating the outcomes as they relate 
to the campus' strategic plans. 

Trustee Spence reported for the Committee on Administration and Finance . She first reported on 
the FY 1998 Tuition and Fee Rates which are two months in advance of the usual time frame to allow the 
President and the Chancellors to meet and finalize the details of each campus's tuition and fee program. 
She commented on the financial support provided by the State which has made the reduction in the 
student charges possible. 

Trustee Croft commended Chancellor Penney's move to improve student services and then added 
that while further funding is needed to supplement enhanced areas there is a concern over fees exceeding 
tuition. He then asked the Board to reconsider this vote due to the inability of students to pay the fee 
increases. 

Trustee Arciero reported that the student government at UMASS Dartmouth has not yet reviewed the 
fees. Chancellor Cressy and the Chair will be reviewing this item with the students next week. 

Several Trustees then voiced their support for the Committee's recommendations and their hope that 
the Legislature would continue to support the University's efforts to provide quality education to the 
citizens of the Commonwealth. 

John Okray, President of the Boston campus Student Senate then reported on his opposition to this 
action. 

It was moved, seconded and 

VOTED : WHEREAS, consistent with the December 4, 1996 vote of the Board of Trustees, the 
President is recommending specific student charges for Academic Year 1997-98 
providing for an average overall 5% reduction in in-state undergraduate tuition rates 
across the campuses with the focus on the need to provide access to higher education, 

NOW THEREFORE, in accordance with Section 1A of Chapter 75 with Section 9 (i) of 
Chapter 15A of the General Laws, to recommend to the Board of Higher Education that 
the tuition for the University campuses for Academic Year 1997-1998 shall be as follows: 



Tuition: 




AMHERST 




Undergraduate (resident) 


$2,004.00 


Undergraduate (non-resident) 


$8,952.00 


Graduate (resident) 


$2,640.00 


Graduate (non-resident) 


$8,952.00 


BOSTON 




Undergraduate (resident) 


$2,004.00 






Board of Trustees 
February 5, 1997 



Undergraduate (non-resident) 
Graduate (resident) 
Graduate (non-resident) 



$8,842.00 
$2,640.00 
$8,842.00 



Tuition: 



DARTMOUTH 




Undergraduate (resident) 


$1,657.00 


Undergraduate (non-resident) 


$7,192.00 


Graduate (resident) 


$2,071.00 


Graduate (non-resident) 


$7,192.00 


LOWELL 




Undergraduate (resident) 


$1,700.00 


Undergraduate (non-resident) 


$7,347.00 


Graduate (resident) 


$2,147.00 


Graduate (non-resident) 


$7,347.00 


WORCESTER 




Medical (resident) 


$8,352.00 


Medical (non-resident) 


N/A 


Graduate (resident) 


$2,640.00 


Graduate (non-resident) 


$8,952.00 



And further, in accordance with Section 1A of Chapter 75 of the General Laws, to 
establish and approve the total combined mandatory fees at the following rates: 



Mandatory Fees: 




AMHERST 




Undergraduate (resident) 


$3,328.00 


Undergraduate (non-resident) 


$3,390.00 


Graduate (resident) 


$2,856.00 


Graduate (non-resident) 


$2,916.00 


BOSTON 




Undergraduate (resident) 


$2,288.00 


Undergraduate (non-resident) 


$2,288.00 


Graduate (resident) 


$2,300.00 


Graduate (non-resident) 


$2,300.00 


DARTMOUTH 




Undergraduate (resident) 


$2,597.00 


Undergraduate (non-resident) 


$3,783.00 


Graduate (resident) 


$2,768.00 


Graduate (non-resident) 


$3,783.00 


LOWELL 




Undergraduate (resident) 


$2,722.00 


Undergraduate (non-resident) 


$2,722.00 


Graduate (resident) 


$2,722.00 


Graduate (non-resident) 


$2,722.00 


WORCESTER 




Medical (1st and 2nd year) 


$1,835.00 


Medical (3rd and 4th year) 


$1,835.00 


Graduate School of Nursing 


$1,885.00 


Graduate School of Biomedical Sciences 


$805.00 



Board of Trustees 
February 5, 1997 



And further, in accordance with Section 1A of Chapter 75 of the General Laws, to 
establish and approve the total combined tuition and mandatory fees at the following 
maximum rates: 



Combined Tuition and Mandatory Fees; 



AMHERST 




Undergraduate (resident) 


$5,332.00 


Undergraduate (non-resident) 


$12,342.00 


Graduate (resident) 


$5,496.00 


Graduate (non-resident) 


$11,868.00 


BOSTON 




Undergraduate (resident) 


$4,292.00 


Undergraduate (non-resident) 


$11,130.00 


Graduate (resident) 


$4,940.00 


Graduate (non-resident) 


$11,142.00 


DARTMOUTH 




Undergraduate (resident) 


$4,254.00 


Undergraduate (non-resident) 


$10,975.00 


Graduate (resident) 


$4,839.00 


Graduate (non-resident) 


$10,975.00 


LOWELL 




Undergraduate (resident) 


$4,422.00 


Undergraduate (non-resident) 


$10,069.00 


Graduate (resident) 


$4,869.00 


Graduate (non-resident) 


$10,069.00 


WORCESTER 




Medical (1st and 2nd year) 


$10,187.00 


Medical (3rd and 4th year) 


$10,187.00 


Graduate School of Nursing (resident) 


$4,525.00 


Graduate School of Biomedical Sciences (non-resident) 


$3,445.00 


Graduate School of Nursing (resident) 


$10,837.00 


Graduate School of Biomedical Sciences (non-resident) 


$9,757.00 






And further, to authorize the President to approve, no later than April 5, 1997, 
individual fee rates for mandatory fees, providing that total tuition and mandatory 
charges to students shall not exceed the combined tuition and mandatory fee rates as 
outlined above. 

Further, the President shall submit budgets for all student fees for approval by the Board 
no later than June 30, 1997. 

In the absence of Trustee Giblin, Trustee Carter gave the report of the Audit Committee and reported 
that the Audit reports had been approved by the Committee and had been voted on under the Consent 
Agenda. 

Chair Karam reported that the Committee of the Whole had met yesterday and had a productive 
discussion with Vice President Chmura and the Chancellors concerning the Office of Commercial 
Ventures and Intellectual Property including campus status of collective bargaining for technology 
transfer. The Chair announced his intention to form an Ad Hoc Committee to work with staff on these 
issues and report back to the Board in the future. 

The next item on the agenda under Other Business was the Naming of the C ollege of Business and 
Industry, UMASS Dartmouth . Chancellor Cressy reported that the Charlton Family Trust has pledged a 



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Board of Trustees 
February 5, 1997 

gift of three million dollars to the Dartmouth campus to be paid over the next seven years. This gift will 
enable the Dartmouth campus to renovate the Textile Building allowing the College of Business and 
Industry to have most of its activities in a single building. Mr. Earle P. Charlton was then introduced and 
thanked for his generosity. It is expected that the some of the funds will be placed in an endowment with 
the goal of using state matching funds to add to the gift. 

It was moved, seconded and 

VOTED: To name the College of Business and Industry at the Dartmouth campus the Earle P. 
Charlton College of Business and Industry, and to accept with sincere gratitude the 
generous gift of the Charlton Family Trust. (Doc. T97-022) 

Chair Karam then asked for a motion to go into Executive Session to discuss A ppointments with 
Tenure. University of Massachusetts Amherst, University of Massachusetts Worcester and Awards of 
Tenure. University of Massachusetts Amherst, and Honorary Degrees. He indicated that the Board 
would not reconvene in open session. 

Trustees Andriolo, Bissonnette, Flores, Foley, Haynes, Kraft, Lewenberg, McNeil, Mihos, Naughton 
and O'Leary voted for the motion. The time was 10:40 a.m. 

It was moved, seconded and 



VOTED : To enter into Executive Session for the purpose of considering Appointments with 
Tenure, University of Massachusetts Amherst, University of Massachusetts Worcester 
and Awards of Tenure, University of Massachusetts Amherst, and Honorary Degrees. 



Moa^J. to^OAT 



Barbara F. DeVico 
Staff Assistant 



# 



• 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE SPECIAL MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, February 12, 1997; 4:00 p.m. 

Faculty Conference Room 

University of Massachusetts 

Medical Center 

55 Lake Avenue North 

Worcester, Massachusetts 

Trustees : Chair Karam; Trustees Andriolo, Bissonnette, Bogan, Carter, Croft, Flores, Foley, 
Giblin, Kraft, Lewenberg, McNeil, Mihos, Poduska (via telephone), Spence (via telephone) 
and Sweeney 

Trustees Absent : Trustees Arciero, Fey, Haynes, Hoff, O'Leary and Naughton 

University Administration : President Bulger; Vice President and General Counsel Kirby; 
Chancellors Cressy, Hogan and Lazare; Deputy Chancellors Russo and Stanton; Mr. Hollings, 
Chief Financial Officer; Mr. Manning, Chief Operating Officer; Mr. Greene, Chief Operating 
Officer for Clinical System; Dr. Steinberg, Chief of Medical Staff 

Faculty Representative : Professor Cooke 

Guests : Attorney Litwak, Brown, Rudnick, Freed and Gesmer; Mr. Sullivan, Deloitte & Touche; 
Mr. Duffy, A.P.M., Inc.; Mr. McClelland, Chair, Clinical Management Board 

Chair Karam convened the meeting at 4:05 p.m. and indicated that this special meeting of 
the Board was being held to consider the Transaction Between the University and Memorial 
Health Care f Inc. He then asked President Bulger for his comments. 

President Bulger first thanked the Trustees and all those involved for their work on this 
historic transaction between the University and Memorial Health Care. He reiterated that 
this transaction will have long range implications for the University system as a whole. 

Chair Karam then asked that questions be held until the completion of the presentation. 
The Board will then enter executive session which will be followed by discussion and possible 
action. Chair Karam noted that the slide presentation is available in paper form, Doc. T97- 
023. General Counsel Kirby then began with an introduction and in the interest of full 
disclosure, informed the Board that some of the individuals presenting information are likely 
to be working within the new clinical system, however everything they've done has been a part 
of their job with the University and there has been no conflict of interest. 

Vice President Kirby then introduced Mr. Hank Duffy from A.P.M., Inc. Mr. Duffy 
explained that the proposed transaction is for the UMASS Clinical System including the 
hospital and physicians to be merged with Memorial Health Care including their hospital 
and physicians to become UMASS Memorial Health Care. 



Board of Trustees 
February 12, 1997 



Deputy Chancellor Stanton then spoke of the Medical Center's historical mission which is 
to serve the people of the Commonwealth through excellence in health care education, service 
and research. He then gave some background information by listing some of the milestones of 
the UMASS Medical Center including: 

1) Medical School established in 1962 

2) Medical School opened in 1970 

3) Teaching Hospital opened in 1976 

4) Hospital becomes self-supporting in 1981 

5) Graduate Schools of Nursing and Biomedical Sciences formed 

6) Reorganization of Clinical System. 

Deputy Chancellor Russo reported on the University Hospital Consortium (UHC) 
conducting a study about how managed care might evolve and the impact on academic health 
centers in markets with higher managed care penetration. 

Deputy Chancellor Russo further reported that in 1993 the Medical Center with the 
assistance of A.P.M. began a strategic planning process based on the national and local market 
trends and the conclusions of the Study and made the following recommendations: 

•Establish a unified structure and clinical decision-making body that can appropriate 

resource allocations 
•Build a regional health care network and integrated delivery system, including a 

Worcester partnership 
•Establish a primary care network 
•Create a service orientation for all consumers 
•Reduce hospital and other operating costs to make the Medical Center competitive with 

other providers in the market. 

The Study considered the options for partnership with other systems and based on the 
criteria established for a successful partnership, Memorial Heath Care was determined to 
provide the strongest opportunity. 

Mr. Duffy then reported that a Worcester partnership merger with Memorial Health Care, 
Inc., would provide a unique opportunity to leverage the nature of the complementary missions, 
geographic coverage and facilities; preserve natural referral patterns; provide a new research 
facility; and build on existing academic linkages. 

Deputy Chancellors Russo and Stanton and Chancellor Lazare then described the process of 
the transaction, the governance and employee issues. The initial composition of the new board 
will be eighteen individuals including Mr. Peter Levine and eight others selected by Memorial, 
Chancellor Lazare and Deputy Chancellor Russo and seven others to be selected by the 
University. The Chairman of the Board will be Robert Karam and Lois Green, Memorial's 
current Chairperson will be Vice Chairman. The Board will be advised by a Physician 
Advisory Board initially consisting of twenty-seven physicians, twelve appointed by the 
University and twelve appointed by Memorial. Dr. Levine will serve as Chief Executive 
Officer for four years with Dr. Russo serving as Chief Operating Officer. Dr. Russo will then 
succeed Dr. Levine as Chief Executive Officer. 

Deputy Chancellor Stanton reported on the Transition Plan for employees which will 
preserve as many jobs as possible but noted that some staff reductions could be necessary. The 
wages for current employees will not decrease and previously planned salary increases will be 
implemented. All current Group Practice physicians will remain with the University for now 







Board of Trustees 
February 12, 1997 

as benefits programs are reviewed. The physicians' services will be contracted to UMASS 
Memorial. 

Chair Karam then asked for a motion to go into Executive Session for the purpose of 
considering the Lease of and Value of Real Pr operty and Litigation. He indicated that the 
Board will be returning for discussion and action in open session. 

Trustees Andriolo, Bissonnette, Bogan, Flores, Foley, Giblin, Kraft, Lewenberg, McNeil, 
Mihos and Spence voted for the motion as did Chair Karam. Chancellors Cressy and Hogan 
were asked to stay as were Vice Presidents Kirby and Lenhardt, Deputy Chancellors Russo and 
Stanton, Mr. Duffy, Mr. Greene, Mr. Hollings, Mr. Litwak, Mr. Sullivan, Dr. Steinberg, Mr. 
Manning and Mr. McClelland. The time was 4:55 p.m. 

It was moved, seconded and 

VOTED : To enter into Executive Session for the purpose of considering the lease of and 
value of real property and litigation. 

At 5:25 p.m. the Board came out of Executive Session. Vice President Kirby then explained 
the two actions being considered. The first would be a vote of the University authorizing the 
President and Chancellor to take steps necessary to complete the transaction with Memorial 
Health Care, Inc., and Worcester City Campus Corporation. The second vote is the Board on 
behalf of the University as the sole member of Worcester City Campus Corporation authorizing 
its officers to act on the transaction with Memorial Health Care, Inc., and the University of 
Massachusetts. If the proposed votes are adopted by the University and Memorial Health 
Care, Inc., the parties will be filing authorizing legislation within the next few weeks. 
General Counsel Kirby reminded the Board that the entire transaction would be subject to 
obtaining legislative authorization. 

Mr. McClelland, Chair of the Clinical Management Board reported that the CMB had 
voted at their meeting yesterday, unanimously for the merger. Deputy Chancellor Russo 
reported that the Worcester City Campus Corporation Board of Directors had met last evening 
and also voted to support the transaction. 

Chancellor Lazare reiterated his support for the actions merging the Clinical System of the 
Medical Center and Memorial Health Care Inc. Chair Karam and President Bulger offered 
their appreciation for all the dedicated individuals that worked on this project. 

It was moved, seconded and unanimously 

VOTED: WHEREAS, the University of Massachusetts Medical Center serves the public 
purpose of providing high quality health care to the citizens of the 
Commonwealth and high quality medical education to its students through its 
operations as an academic medical center; and 

WHEREAS, in the current health care environment it is necessary to the success 
of clinical operations for such operations to be operated in an independent, 
flexible and highly responsive manner at a size which provides optimum 
economics of scale; and 

WHEREAS, it is in the best interests of the University, in order to continue to 
serve the public purposes defined above, to separate the operations, revenues, 
liabilities and obligations of the clinical system from the University, and to 
transfer certain trust funds maintained on behalf of the clinical system, thus 
permitting the clinical system to operate in a manner best suited to maintain its 

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[ 



Board of Trustees 
February 12, 1997 



competitiveness and efficiency in today's rapidly changing health care 
environment so as to: continue and guarantee the mutually beneficial 
relationship between the Medical School and the clinical system creating an 
academic medical center; continue financial support for the Medical School; 
insulate the University from clinical liability; and ensure the receipt of 
benefits for the Commonwealth's investment; and 

WHEREAS, Memorial Health Care, Inc. maintains a health care delivery 
system in Worcester complementary to the University's clinical system; and it 
desires to form a mutually beneficial partnership with the University clinical 
system consistent with the missions of both; 



' 



NOW THEREFORE IT IS 



VOTED : 



And further, 
VOTED: 



That the Definitive Agreement (Doc. T97-023) relating to the transfer of 
substantially all of the assets of the University clinical system and the 
combination among the University of Massachusetts at Worcester, Memorial 
Health Care, Inc. and Worcester City Campus Corporation, together with each 
of the Exhibits attached to the Definitive Agreement, be and it hereby is 
approved in or substantially in the form and on the terms and conditions 
presented at this meeting and that the President is hereby authorized to 
execute and deliver said Agreement and any other document related to the 
transaction contemplated in the Definitive Agreement with such changes as he 
may authorize; 

Subject to the conditions set forth in Article XIII of the Definitive Agreement 
and particularly the enactment of authorizing legislation, the President and 
Chancellor of the Worcester campus are and each of them is hereby authorized 
to acknowledge, approve, execute and deliver such other agreements, 
documents, instruments, filings and certificates and to take such other action as 
he or they deem necessary or desirable to effectuate the transactions 
contemplated in the Definitive Agreement including but not limited to: the 
transfer of the Hospital Trust Fund established pursuant to Section II of 
Chapter 75 of the General Laws and Chapter 363A of the Acts of 1977, the 
transfer of the Self Insurance Trust Fund established by this Board by vote 
dated June 5, 1985, as amended, and the transfer of use of all real property and 
equipment, currently occupied or used by the clinical system of the Worcester 
campus, for a period of ninety-nine years. 



WHEREAS, the Worcester City Campus Corporation operates for the purpose 
of supporting the clinical system of the University of Massachusetts Medical 
Center by organizing, operating and supporting a health care network and the 
University of Massachusetts acting through its Board of Trustees is the sole 
member of Worcester City Campus Corporation; and 

WHEREAS, it is in the best interests of the University (the clinical system and 
the academic system) in order to continue to serve the public purposes of high 
quality health care and education, to separate the operations, revenues, 
liabilities and obligations of its clinical system from the University, and to 
transfer certain trust funds maintained on behalf of the clinical system, thus 
permitting the clinical system to operate in a manner best suited to maintain its 
competitiveness and efficiency in today's rapidly changing health care 



-4- 



\ 



Board of Trustees 
February 12, 1997 

environment so as to: continue and guarantee the mutually beneficial 
relationship between the Medical School and the clinical system creating an 
academic medical center; continue financial support for the Medical School; 
insulate the University from clinical liability; and ensure the receipt of 
benefits for the Commonwealth's investment; and 

WHEREAS, Memorial Health Care, Inc. maintains a health care delivery 
system in Worcester complementary to the University's clinical system; and it 
desires to form a mutually beneficial partnership with the University clinical 
system consistent with the missions of both; and 

WHEREAS, it is in the best interests of the Worcester City Campus 
Corporation for the assets and operations of its health care network to remain 
consolidated with the new partnership between the University clinical system 
and Memorial Health Care, such partnership to maintain a close affiliation 
with the Medical School; 

NOW THEREFORE IT IS 

VOTED : That the member of the Worcester City Campus Corporation hereby authorizes 
the disposition of substantially all of the property and assets of the 
Corporation as set forth in the Definitive Agreement (Doc T97-023) among the 
Corporation, the University of Massachusetts and Memorial Health Care, Inc.; 

VOTED : That the Definitive Agreement (Doc T97-023) relating to the transfer of 
substantially all of the assets of the University clinical system and the 
combination among the University of Massachusetts at Worcester, Memorial 
Health Care, Inc. and the Corporation, together with each of the Exhibits 
attached to the Definitive Agreement, be and it is hereby approved in or 
substantially in the form presented at this meeting and that the President is 
hereby authorized to execute and deliver said Agreement with such changes as 
he may authorize. 

Subject to the conditions set forth in Article XIII of the Definitive Agreement 
and particularly the enactment of authorizing legislation, the President and 
other officers of the corporation are and each of them is hereby authorized to 
acknowledge, approve, execute and deliver such other agreements, documents, 
instruments, filings and certificates and to take such other action as he or they 
deem necessary or desirable to effectuate the transactions contemplated in the 
Definitive Agreement. 

VOTED: That, in connection with the transactions contemplated by the Definitive 
Agreement, the Worcester City Campus Corporation ("Corporation") adopt and 
file such amendments as may be necessary to change the member of each of its 
subsidiaries and affiliates other than UMASS Management System, Inc. and 
UMASS Health System Realty I Corp., to a member designated by the newly 
formed UMASS Memorial Health Care, Inc., or its designee in order to effect 
the combination contemplated by the Definitive Agreement, and the officers of 
the Corporation be and they are and each of them singly hereby is authorized 
to take all actions and to execute all documents which such officer deems 
necessary or desirable to effect the purpose of this vote. 

VQTfcD : That, prior to the change in the member of UMASS Health System Ventures, 
Inc., pursuant to the foregoing vote, the Corporation as the sole member of 



-5- 



f 



Board of Trustees 
February 12, 1997 

UMASS Health Systems Ventures, Inc. shall adopt and cause to be filed such 
amendments as may be necessary to appoint the Corporation or its designee as a 
member of the Community Care Institute, Inc., and as a member of University 
Health Research Programs, Inc. and the officers of the Corporation be and they 
hereby are and each of them singly hereby is authorized to take such actions 
and to execute all documents which such officer deems necessary or desirable to 
effect the purposes of this vote and the Board of UMASS Health System 
Ventures, Inc. is hereby directed to take such action and adopt such votes as 
may be necessary to effect the purpose of this vote. 

President Bulger thanked the Board and expressed the belief that a merged clinical 
operation will provide the support and strength necessary to permit the University to maintain 
and enhance its high quality Medical School. 

Following the votes, Ms. Kristine Rondeau, Assistant Director of Organizing, AFSCME 
addressed the Board about the need for all parties involved to work together to achieve a 
mutual understanding. 

Chair Karam thanked the Board members for attending today's meeting and at 5:37 p.m. 
adjourned the meeting. 



' 



koSvktAo- ^ $z$&V 



Barbara F. DeVico 
Staff Assistant 



9 



i 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, April 2, 1997; 9:00 a.m. 

Board Room 

18 Tremont Street Suite 800 

Boston, Massachusetts 

Trustees and Trustee Staff : Chair Karam; Vice Chairs Haynes and O'Leary; Trustees Andriolo, Carter, 
Croft, Fey, Flores, Foley, Kraft, Lewenberg, McNeil and Naughton 

Trustees Absent : Arciero, Bissonnette, Bogan, Giblin, Hoff, Mihos, Poduska, Spence and Sweeney 

University Administration : President Bulger; Vice President and General Counsel Kirhy; Chancellors 
Scott, Penney (via telephone), Cressy, Hogan and Lazare; Deputy Chancellor MacCormack and Vice 
Chancellor Robinson, UMASS Boston 

Chair Karam convened the meeting at 9:45 a.m. Due to the inclement weather the location of the 
meeting had been changed from Dartmouth to Boston. While waiting for Trustees to arrive the Chair 
asked that Vice President Chmura begin the meeting with the Report on the Economic Impact of the 
University of Massachusetts . 

Vice President Chmura reported that the University system is a huge economic enterprise, a $1.6 
billion dollar operation employing 13,000 people and that for every dollar received from the state 
appropriation, the University generates an additional $1.13. The state is giving us $400 million and we 
are putting back into the economy $3.5 billion in annual economic activity. Beyond the numbers, there 
are three different roles the University plays in supporting the Massachusetts economy: 1) fostering new 
economic growth: new companies, technologies and products; 2) helping existing companies retain their 
competitive edge; and 3) honing the workforce of today and shaping one for the new millennium; we 
educate 50,000 students a year and 85% of our undergraduates are from Massachusetts, two thirds of our 
students stay in Massachusetts. 

Vice President Chmura continued his report by mentioning the University's many distinguished 
alumni including Mr. Jack Welch, CEO of General Electric and Mr. Jack Smith, CEO of General Motors. 
He also mentioned yesterday's piece in the Boston Globe by Mr. Robert Mahoney, a 1970 graduate of the 
Amherst campus and president of Citizens Bank titled "UMASS Delivers on its Promise". 

Chair Karam commended the administration for the positive publicity and feedback we are receiving 
for making the message of the University heard and noted that we should all take every opportunity to 
promote the University as a major economic force in the state of Massachusetts. Trustee Haynes 
requested that continued emphasis be placed on the labor extension programs. 

President Bulger then gave his report. He first commended the Boston campus for the reception 
provided for President Clinton on his recent visit and mentioned his recent trip to Ireland with Governor 
Weld including visits to several colleges. Of particular interest was the progress of the international 
student exchange program between students at Amherst and Derry. 

He further reported that U. S. News and Report ranked the Creative Writing Course at UMASS 
Amherst as number 10 in the country and the Amherst campus College of Engineering, 44th in the nation. 
The same publication also named the Medical School as the 4th best primary care medical school in the 



' 



' 



m 



i 



Board of Trustees 
April 2, 1997 

country and #6 in faculty resources. He also recognized Robert Macintosh, Distinguished Professor of 
Electrical and Computer Engineering at Amherst who has been elected to the National Academy of 
Engineering. He mentioned that the Amherst campus has been rated #18 among public universities in 
the research productivity of its faculty in a recently published book, The Rise of American Research 
Universities . 

President Bulger was pleased to announce that there has been progress made on the establishment of 
financial performance targets at each campus through the year 2000. He expressed his pleasure that we 
have received $1.5 M of state informational technology bond funds to pay the initial costs connecting the 
five campuses to the "Massachusetts Information Turnpike." He then presented Chancellor Cressy a 
check for $450,000 to help pay for the opening of the new center for Marine Science and Technology. He 
also announced that the Amherst, Boston and Dartmouth campuses are having their CVIP policies 
approved today which makes all five campuses on board. He recognized Vice Presidents Chmura and 
Kirby for their work in this area and commended Vice President Chmura for his report on Economic 
Impact. 

Chancellor Lazare reported that the Medical Center has been cited as having the number 1 and 2 
research scientists in the country and has the highest rate of growth of research money from NIH, a 
twenty three percent increase from the year before. 

Chair Karam then called the meeting to order at 10:30 a.m. for the benefit of the late-arriving Trustees 
and asked the President to introduce Dusty Rhodes, President of Conventures to update the Board about 
the Inaugural/Fundraising Event planned for the Fall, 1997 . 

Ms. Rhodes briefly gave a background description on Conventures and some of the many galas they 
have arranged. She introduced her colleagues Ms. Mrusek and Mr. Choate. She went through the draft 
schedule of events planned for September 18, 1997 beginning in the morning at the JFK Library with a 
faculty brunch, the installation at Faneuil Hall and a luncheon back at the Library. That night there 
would be a formal dinner at Symphony Hall (intended to raise funds), including the President presenting 
a President's Medal and a check endowing a scholarship fund in the recipient's name to the University. 

Chair Karam expressed his enthusiasm for this event as a way to increase scholarship money and to 
increase the presence of the University. 

The first item on the agenda was Consideration of the Minutes of the previous meetings of the 
Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the February 5 and February 12, 1997 meetings of the Board. 

Chair Karam then introduced the Consent Agenda. It was moved, seconded and 

VOTED : To approve the following votes listed as items #a-c on the Board Consent Agenda: 

a. Clinical Management Board Minutes. December 19, 1996 (Doc. T97-038) 

1. Clinical Management Board Minutes, November 21, 1996 

To approve the minutes of the November 21, 1996 Clinical Management 
Board meeting as recorded. 

2. Report of the Finance Committee and the Unaudited Financial Statements 

To approve the Report of the Finance Committee and the Unaudited Financial 
Statements for November, 1996. 



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Board of Trustees 
April 2, 1997 

3. CredenHalling Report 

To accept the Credentialling report as recommended by the Hospital Executive 
Committee and Health Professional Staff Credentials Committee at their 
November and December, 1996 meetings. 

b. Committee on Administration and Finance - March 18, 1997 

1. Adoption of the Polic y on Conflict of Interest Relating to Intellectual Property 
and Commercial Ventures, the Intellectual Prope rty Policy, and the Policy on 
Faculty Consultin g and Outside Activities, UMASS Dartmouth 

In accordance with section 14A of Chapter 75 of the General Laws, to adopt the 
Policy on Conflict of Interest relating to Intellectual Property and Commercial 
Ventures (Doc. T96-039), the Intellectual Property Policy (Doc. T96-040), and the 
Policy on Faculty Consulting and Outside Activities (Doc. T96-047) for the 
Dartmouth campus. 

This policy shall supersede and rescind all other policies currently in effect in the 
University which are inconsistent herewith including but not limited to the 
University of Massachusetts Dartmouth campus Patent Policy. 

2. Establishment of John F. Smith Memorial Scholarship,, UMASS Amherst (Doc. 
T97-031) 

In accordance with the University Policy on Named Professorships (Doc. T93- 
014), to approve the establishment of the John F. Smith Memorial Professorship 
in Operations Management in the School of Management at the University of 
Massachusetts Amherst. 

c. Audit Committee - March 18. 1997 
• Audit Reports 

1. Management Letter, FY96 University General Purpose Financial Audit by 
Coopers & Lybrand (Doc. T97-028) 

2. University Health Services (Student Health Trust Funds) Financial Statements, 
June 30. 1996 by KPMG Peat Marwick (Doc. T97-029) 

3. University Health Services (Supplemental Health Benefits Plan Trust Fund) 
Financial Statements. Tune 30, 1996. by KPMG Peat Marwick (Doc. T97-030) 

4. Review of Operations at the Top of the Campus, Inc., UMASS Amherst (Doc. 
T97-026) 

5. Review of Operations of the Faculty Club. Inc., UMASS Amhe rst (Doc. T97- 
Q3J1 

The next item on the agenda was the report of the Committee on Academic and Student Affairs. 

Trustee McNeil reported that the Committee had met on March 25; the first item had been an 

^^ Amendment to the Academic Personnel Policy, UMASS Worcester . The amendment is necessary in 



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Board of Trustees 
April 2, 1997 

part to further the pending merger with the Worcester Foundation which will bring several scientists into 
the Medical Center's faculty that currently have multi-year contracts. 

It was moved, seconded and 

VOTED : To amend the Academic Personnel Policy by adding three additional sentences under 
Article 10.1 which deals with terms of appointment. Specifically, we would add the 
following 10.1a (new material indicated in bold). 

10.1a For academically salaried faculty members, the effective dates of employment and 
any contingencies shall be spelled out in the University of Massachusetts Worcester 
Personnel Action/Contract signed by the Department Chair (if any), the Dean, the 
Provost or Chancellor, and by the faculty member, which shall signify his/her 
understanding and acceptance of said terms and conditions. In most cases, this contract 
shall be for one year. However, in certain cases, the contract may be approved for 
multiple years with a maximum of five (5) years. Multi-year contracts require 
approval from the Vice Chancellor for Faculty Affairs utilizing criteria approved by 
the University President. 

The next item was Student Legal Services Office, UMASS Boston . Chair McNeil reported that all 
levels at the campus were involved in this presentation. Vice Chancellor Robinson reported that this item 
was student-supported to be paid for with student fees and will be used to provide legal assistance to 
undergraduate students on the Boston campus. 

It was moved, seconded and 

VOTED; WHEREAS the Student Government Association, on behalf of the undergraduate student 
body has requested the Board to permit mandatory fees to be used to provide advice, 
representation, and other legal assistance to undergraduate students enrolled at the 
Boston campus, and 

WHEREAS a thorough survey of the student body identified many areas under the law 
where the student body could benefit from said services, and 

WHEREAS the Student Legal Services Office Advisory Committee, consisting of 
students, faculty, and administrators has worked inclusively to present this proposal, 

THEREFORE be it resolved as follows: 

STUDENT LEGAL SERVICES OFFICE 

Student activities fees properly collected by the University and designated through the 
appropriate University procedure may be used to operate an office to provide legal 
services to undergraduate students on the Boston campus. 

Said office, which shall be known as the Student Legal Services Office, may serve Boston 
students provided that on all printed material and in all oral communications the office 
shall be identified as the Student Legal Services Office and all printed material shall 
include the phrase "supported through student activity fees." 

The Student Legal Services Office may provide advice, representation, and other legal 
assistance to students enrolled at the Boston campus who have paid the student activities 
fees. The Office shall not provide legal assistance or advice to individuals who are not 






* 



Board of Trustees 
April 2, 1997 

students, nor shall it provide representation or advice to students with respect to their 
status or duties as employees of the University. 

The Directing Attorney of the Student Legal Services Office shall report through the 
regular student affairs line organization to the Vice Chancellor for Student Affairs, who 
shall consult on caseload policy issues with the Student Legal Services Office Advisory 
Committee. The Committee may include students, faculty, and administrators, as well as 
community members who are respected members of the Bar. The student members shall 
be appointed by the Student Government Association. The non-student members shall 
be appointed by the Vice Chancellor for Student Affairs. 

Any attorney employed full or part time at the Student Legal Services Office shall be a 
University employee subject to all policies of the University and all state laws governing 
University employees, including Chapter 268A of the Massachusetts General Laws. 
Pursuant to Chapter 268A, the "appointing authority" for any such attorney shall be the 
Vice Chancellor for Student Affairs. No person employed by the Office shall refer a legal 
matter that has been brought to or originated in the office to his or her private practice, to 
a relative or to a law firm, partner, or other person or entity with whom such employee 
has a business relationship, unless the matter will be handled by such person or entity 
without compensation; nor shall any such employee or any student who serves with or 
without compensation in the Office, or on a board or committee that has any supervisory 
responsibility for the Office, accept compensation for referring a legal matter that has 
been brought to or originated in the Office to any such person or entity. 

Student Legal Services Office may commence litigation on behalf of students provided 
that the Office, which is supported by student fees, shall not engage in litigation either in 
court or before administrative agencies, against the Commonwealth or any of its 
agencies, subdivisions, or instrumentalities including the University, or any municipality, 
or any officer, trustee, agent, or employee of any of the foregoing for actions related to 
their official duties or responsibilities. 

If the Graduate Student Assembly, on behalf of the graduate student body, contributes 
proportionately (based on enrollment figures) to be Student Legal Services Office, 
services may be extended to graduate students. 

SUNSET PROVISION 

The foregoing authorization for the operation of a Student Legal Serviees Office at the 
Boston campus shall remain in effect until December 15, 1999, at which time the Office 
shall cease to operate unless before that time the Board of Trustees has acted 
affirmatively to approve the continued operation of the Office. On or before December 
15, 1999 the Chancellor shall review the operation of the Office, which review shall 
include, but not be limited to, the number and types of matters handled, the number of 
students receiving assistance, the financial need of those students on whose behalf 
litigation was commenced, and any fee structure put in place for students on whose 
behalf litigation has been commenced. 

Chair McNeil noted that the remainder of the Academic and Student Affairs action items would 
continue under Executive Session. Chair McNeil reported that the Committee have had several 
informational items discussed at every meeting and if more information was required she or Vice 
President Botman would be happy to provide it. At the last meeting there had been an informative 
discussion concerning collaborative academic initiatives; the joint doctoral program in nursing at 
Amherst and Worcester and ongoing efforts of the Honors Program at Amherst and Boston. 



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Board of Trustees 
April 2, 1997 

Trustee Lewenberg then inquired about the status of the relationships between the Board of Higher 
Education and the University in relation to the Honors Program. Vice President Botman responded that a 
hearing was held yesterday with the BHE with twelve campuses submitting proposals for an Honors 
Program. Chancellor Scott reported that the Amherst proposal was presented Monday. More 
information on this subject will be forthcoming. 

Chair Karam turned to Trustee Fey for the report of the Committee on Administration and Finance. 
Several items had been voted on under the Consent Agenda. The other item for action was FY 1998 
Room and Board Rat es and Other Student Fees. 

It was moved, seconded and 

VOTED; In accordance with Section 1A of Chapter 75 of the General Laws, to establish and 
approve the fees for Academic Year 1997-98 as listed in Doc. T97-011, Addendum 1. 

And further, the President shall submit budgets for all student fees for approval by the 
Board no later than June 30, 1997. 

Trustee Fey reported that there had been two major discussion items: (1) the 1997 Financial Indicators 
with the campuses in the process of establishing specific targets for future years. A subcommittee is 
being formed to review the targets in depth; (2) Ms. Wanczyk's presentation on Financial Peer 
Information. Trustee Fey noted that there was a report of the Ad Hoc Committee on Investments, 
Commercial Ventures, and Intellectual Property. It was decided that the money managers would be 
invited to the next Ad Hoc Committee meeting to make an annual presentation. She also mentioned the 
proposed merger between the Medical Center and the Worcester Foundation BioMedical Research. This 
will be an action item in the future. 

Trustee Haynes then gave the report of the Audit Committee and listed the Audit reports already 
approved under the Consent Agenda. There was a brief discussion about the Faculty Club and the need 
for a follow-up to this report. 

Under Other Business Vice President Kirby reported on the Adoption of the Policy on Conflict of 
Interest Relating to Intellectual Property and Commercial Ventures, the Intellectual Property Policy, 
and the Policy on Faculty Consulting and Outside Activities, UMASS Amherst UMASS Boston . 
Following faculty negotiations completed last week the Amherst and Boston campuses are ready to have 
these policies approved. 

It was moved, seconded and 

VOTED : In accordance with section 14A of Chapter 75 of the General Laws, to adopt the Policy on 
Conflict of Interest relating to Intellectual Property and Commercial Ventures (Doc. T96- 
039), the Intellectual Property Policy (Doc. T96-040), and the Policy on Faculty Consulting 
and Outside Activities (Doc. T96-047) for the Amherst and Boston campuses. 

These policies shall supersede and rescind all other policies currently in effect in the 
University which are inconsistent herewith including but not limited to Doc. T85-091 A. 

Trustee Carter then reported on the Status of Student Trustee Voting : his fellow students passed a 
motion last September at the Student Senate asking the Board to consider giving all student trustee 
members the authority to vote. He argued that without a vote it was difficult for each student Trustee to 
properly represent his or her campus. Trustee Carter said that having all students being able to vote 
would provide the Board with the proper balance on student issues such as fees and tuition. 



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♦ 



Board of Trustees 
April 2, 1997 

Vice President Kirby was asked to give a brief history on student Trustees voting; the 1991 enabling 
legislation put five student trustees, one from each campus on the Board, two voting members that 
rotates between the campuses every year. Chair Karam stated his belief that all student members of the 
Board carries equal status and that the Board has always felt all campuses are well represented by the 
student members on the Board, voting or non-voting. He further pointed out that any change to this 
policy must be through legislation and that the original intent was not to have Board "factions" by type 
(students, faculty, etc.) or by campus. Trustee Croft suggested that all student members be allowed to 
vote at the committee level with only two voting members at the full Board. 

Trustee Andriolo stated the opinion that the Board has always been open to the student's opinions 
and that most issues that are brought up have reached a consensus and most votes are unanimous. 
Several trustees reiterated the fact that students on the Board have always been looked upon as peers. 
Chair Karam suggested that trustees that are interested in looking at this issue further communicate their 
wishes to him and the item will be studied further. 

Vice President Kirby then provided an Update on the Transaction between the University of 
Massachusetts and Memorial Health Care, Inc. Following the February 12 special meeting of the Board, 
the lawyers on both sides have been meeting to continue the many items needed to implement the deal 
including creation of corporations, review of contracts, etc. There has been work on legislation to be filed 
next week to implement the merger. There will be pubic legislative hearings scheduled for the last week 
of April . Chancellor Lazare also updated the Board on this subject by stating the reasons the merger is so 
important including strengthening the Medical Center. Trustee Naughton requested some information 
on the pending legislation to better understand this major undertaking. 

Chair Karam then asked for a motion to go into Executive Session to discuss Appointments with 
Tenure, UMASS Amherst UMASS Boston, and Awards of Tenure. UMASS Amherst. UMASS Boston 
and Honorary Degrees . He indicated that the Board would not reconvene in open session. Trustees 
Andriolo, Fey, Flores, Foley, Haynes, Kraft, Lewenberg, McNeil, Naughton and O'Leary voted for the 
motion. The time was 11: 30 a.m. 



WL^-^^ 



Barbara F. DeVico 
Staff Assistant 



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• 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, June 4, 1997; 9:15 a.m. 

Conference Dining Room 

University of Massachusetts 

Old Westport Road 

North Dartmouth, Massachusetts 

Trustees and Trustee Staff : Chair Karam; Vice Chairs Haynes and O'Leary; Trustees Andriolo, Arciero, 
Berlandi, Bissonnette, Bogan, Carter, Croft, Flores, Foley, Giblin, Hoff, Lewenberg, Mahoney, McNeil, 
Mihos, Naughton and Sweeney 

Other Trustees : Student Trustee-elects Carpenter, Murray, Osterhaus, Tirrell (arrived late) and Tremblay 

Trustees Absent : Trustees Fey and Kraft 

University Administration : President Bulger; Vice President and General Counsel Kirby; Chancellors 
Scott, Penney, Cressy, Hogan and Lazare; Vice President Botman 

Guests : Professor Juravich, UMASS Amherst; Professor Green, UMASS Boston, Professor Ronald 
DiPippo, UMASS Dartmouth 

Chair Karam convened the meeting at 9:18 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the April 2, 1997 meeting of the Board. 

The next item on the agenda was the Chair's Report . Chair Karam reported that President Bulger 
had received an honorary degree from Assumption College and one from Cape Cod Community College 
where he was the Commencement speaker as well. 

Chair Karam then voiced his appreciation to the five student Trustees who would be leaving the 
Board, Brian Andriolo, James Arciero, Sean Carter, David Croft and Timothy Sweeney, He voiced his 
pleasure with their dedication and asked that they keep in touch. The out-going Trustees then thanked 
the Board and introduced their successors: Michael Murray from UMASS Boston, Sean Carpenter from 
UMASS Dartmouth, Keith Tremblay from UMASS Lowell, and Kerri Osterhaus from UMASS Worcester; 
Brian Tirrell from UMASS Amherst arrived later in the meeting. Following the outgoing Trustees' 
comments and introductions, Chair Karam presented each Trustee with a University of Massachusetts 
Chair. 

The next item on the agenda was the President's Report . President Bulger also thanked the out-going 
student Trustees for their splendid service to the University. He reported on the success of the 
University's Scholars Program and the awards ceremony planned for June 16 at the State House. He 
briefly mentioned General Education Reform and the measurable goals and peer information which will 
be presented to the Board at the August meeting. He further reported that the campus book store issue 
discussed by the Committee on Administration and Finance and the student health services issue 
presented by Trustee Foley last year are being reviewed; the results will be brought back to the Board in 
the near future. 



Board of Trustees 
June 4, 1997 

President Bulger reported on the status of the Tuition Advantage Program which would come up 
later today, the status of the state budget and the appointment of Professor Craig Moore who will oversee 
the Massachusetts Benchmarks Initiative as a system-wide initiative to track, monitor and analyze the 
Massachusetts economy, key industries and the diverse economic regions. He also commended the 
Chancellors for the success of the commencements and looked forward to this weekend's festivities at the 
Dartmouth campus. 

President Bulger then reported on the donation of $6 million to the Amherst campus for new facilities 
and an endowed professorship in the School of Management by Eugene and Ronnie Isenberg. Mr. 
Isenberg is a graduate of the Amherst campus and is currently chairman and CEO of Nabors Industries of 
Houston, one of the world's leading oil and gas drilling contractors. 

President Bulger reported that he and the Chair had met the day before with the editor of the Boston 
Globe and members of the Boston business community. He then called on Trustee Haynes to give a 
report on the Labor Studies Program. 

Trustee Haynes first recognized Daniel Georgianna from the Dartmouth campus and introduced two 
of the authors of the book "Commonwealth of Toil" which was distributed to each member of the Board. 
Professor Juravich from the Amherst campus and Professor Green from the Boston campus, Directors of 
Labor Studies at their respective campuses then gave a presentation on the book which has been 
distributed to public schools and libraries. Each professor thanked President Bulger, Senate President 
Birmingham and Trustee Haynes for their support with this project. 

President Bulger then introduced and congratulated Professor James Griffith of the Department of 
Medical Laboratory Science who has been selected as one of the recipients for the inaugural Exemplary 
Public Employee Award. 

Chair Karam then introduced the Consent Agenda . It was moved, seconded and 

VOTED : To approve the following votes listed as items #a-d on the Board Consent Agenda: 

a. Clinical Management Board Minutes, January 16, 1997 (Doc. T97-054) 

1. Clinical Management Board Minutes, December 19, 1996 

To approve the minutes of the December 19, 1996 Clinical Management Board 
meeting with the two noted corrections. 

2. Credentialling Report 

To approve the Credentialling Report as presented by Gerald Steinberg, M.D. 

b. Clinical Management Board Minutes, February 11. 1997 (Doc. T97-054) 

1. University of Massachusetts Worcester Memorial Health Care, Inc. and 
Worcester City Campus Corporation 

That the Definitive Agreement relating to the transfer of substantially all of the 
assets of the University clinical system and the combination among the 
University of Massachusetts at Worcester, Memorial Health Care, Inc. and 
Worcester City Campus Corporation, together with each of the Exhibits attached 
to the Definitive Agreement, be and it hereby is approved in or substantially in 
the form and on the terms and conditions presented at this meeting and that the 



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Board of Trustees 
June 4, 1997 



• 



• 



President is hereby authorized to execute and deliver said Agreement and any 
other document related to the transaction contemplated in the Definitive 
Agreement with such changes as he may authorize; 

Subject to the conditions set forth in Article IX of the Definitive Agreement and 
particularly the enactment of authorizing legislation, the President and 
Chancellor of the Worcester campus are and each of them is hereby authorized to 
acknowledge, approve, execute and deliver such other agreements, documents, 
instruments, filings and certificates and to take such other action as he or they 
deem necessary or desirable to effectuate the transactions contemplated in the 
Definitive Agreement including but not limited to: the transfer of the Hospital 
Trust Fund established pursuant to Section II of Chapter 75 of the General Laws 
and Chapter 363 A of the Acts of 1977, the transfer of the Self Insurance Trust 
Fund established by this Board by vote dated June 5, 1985, as amended, and the 
transfer of use of all real property and equipment, currently occupied or used by 
the clinical system of the Worcester campus, for a period of ninety-nine years. 

c. Committee on Academic and St udent Affairs - May 28, 1997 

1. Code of Student Conduct. UMASS Amherst (Doc. T94-059. as amended) 

To approve the revisions to the Code of Student Conduct for the Amherst 
campus, as contained in Doc. T94-059, as amended, effective as of July 1, 1997. 

2. Code of Student Conduct UMASS Boston (Doc. T94-Q59. as amended) 

To approve the revisions to the Student Conduct Code for the Boston campus, as 
contained in Doc. T94-059, as amended, effective as of July 1, 1997. 

3. Code of Student Conduct and Student Tudiciary Policies and Procedures. 
UMASS Dartmouth (Doc. T94-059. as amended) 

To approve the revisions to the Code of Student Conduct and the revisions to the 
Student Judicial Code (now renamed Student Judiciary - Policies and 
Procedures) for the Dartmouth campus, as contained in Doc. T94-059, as 
amended, effective as of July 1, 1997. 

4. Graduate School of Nursing Governance Document. UMASS Worcester 
(Doc. T91-028, as amended) 

To approve the revisions to the Governance Document for the Graduate School 
of Nursing listed in Doc. T91-028, as amended. 

d. Committee on Administration a nd Finance - May 29. 1997 

1. Authorization for Expenditures of Funds in FY 1998 (Doc. T97-041) 

To authorize the President to expend at the FY 1997 rate, state and non-state 
funds for the University from July 1, 1997 until such time as the Board adopts the 
Operating Budget for FY 1998. 



• 



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Board of Trustees 
June 4, 1997 



2. Amendme nts to the Policy on Tuition Waivers (Doc. T96-129) 

To approve an amendment to the Policy on Tuition Waivers (Doc. T96-129) by 
adding the underscored words to Section IV, C3: 

If a University Employee retires from the University the University Employee 
and his or her Spouse, Domestic Partner and Dependent Children shall be 
eligible for tuition waivers for one program of study or degree program. 

3. Waivable Fee for the Mass Media Newspaper. UMASS Boston (Doc. T97-052) 

To recommend to the Board that a waivable fee in the amount of four dollars ($4) 
per semester for undergraduate students be implemented and placed on student 
tuition bills for the Boston campus effective in academic year 1997-98, the 
proceeds to be used solely to cover operational costs of the Mass Media provided 
that said fee shall not be continued beyond academic year 1997-98 unless 
authorized by a further vote of the Board of Trustees after its consideration of 
students fees for academic year 1998-1999. 

The next item on the agenda was the report of the Committee on Academic and Student Affairs. 
Trustee McNeil reported that the Committee had met on May 28 and several items had been voted on 
under the Consent Agenda. She then introduced the first action item, the Appointment of Craig Moore 
as University Professor of Political Economy . 

It was moved, seconded and 

VOTED: To concur with the President in the appointment of Craig Moore as University Professor 
of Political Economy, the appointment to terminate when Dr. Moore's reassignment to 
the President's Office ceases. 

Trustee McNeil reported that the Awards of Tenure would be discussed in Executive Session later in 
the meeting. She also updated the Board on the Financial Aid Presentation and the Report of the Task 
Force on Remedial Education. She announced that any member of the Board that had not received either 
of these reports should request a copy from the President's Office as both reports provided useful 
information. 

In Trustee Fey's absence, Chair Karam turned to Trustee Naughton for the report of the Committee 
on Administration and Finance which had met on May 29. Several items had been voted on under the 
Consent Agenda. Trustee Naughton mentioned the discussion surrounding the waivable fee for the Mass 
Media and that the vote had been amended to include a sunset provision. 

The first item for action was the Worcester Foundation for Biomedical Research . Chancellor Lazare 
provided a brief summary of the transaction. 

It was moved, seconded and 

VOTED: WHEREAS, the University of Massachusetts Worcester and the Worcester Foundation for 
Biomedical Research and the Worcester City Campus Corporation have reached 
agreement as to the terms of a merger; and 



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Board of Trustees 
June 4, 1997 

WHEREAS, by this merger the University of Massachusetts Worcester will be both 
preserving an important asset to the scientific and Worcester communities and furthering 
the University's academic, training and research missions; and 

WHEREAS, by this merger the University of Massachusetts Worcester will be bringing a 
number of outstanding scientists and educators from the Worcester Foundation for 
Biomedical Research into the faculty of the University of Massachusetts Worcester; and 

WHEREAS, by this merger the Worcester City Campus Corporation will acquire certain 
real estate from the Worcester Foundation for Biomedical Research for the use of the 
University, and retain, as a subsidiary entity of Worcester City Campus Corporation, the 
active involvement and support of a community fund raising board committed to 
scientific research and education; and 

WHEREAS, by this merger the Worcester Foundation for Biomedical Research will 
transfer its existing endowment to the UMASS Foundation to support the activities of the 
new joint research and training program. 

NOW THEREFORE IT IS VOTED to authorize the President to take all actions necessary, 
or to subdelegate such action or actions to the Chancellor, to effectuate the merger 
between the University of Massachusetts Worcester and the Worcester Foundation for 
Biomedical Research, including entering into a lease for space at the Biotechnology 
Research Park in accordance with the requirements of Massachusetts General Laws 
chapter 75, section 36C. 

The next item was the FY 1998 Fee and Revenue-Based Budg ets which had been discussed in detail 
by the Committee. It was moved, seconded and 

VOTED : To approve the FY 1998 Fee-Based Budgets at the Amherst, Boston, Dartmouth, Lowell, 
and Worcester campuses, and the budgets and fee structures for the FY 1998 Revenue- 
Based Budgets at the Amherst, Boston, Dartmouth, Lowell, and Worcester campuses, and 
for Central Administrative Services, as described in Doc. T97-042, and further, to approve 
the establishment of the Public Service and Economic Development Trust Fund at the 
Amherst campus, the Graduate Student Activities Trust Fund and the Mass Media Trust 
Fund at the Boston campus, the Public Health Services Trust Fund at the Worcester 
campus, and the Commercial Ventures and Intellectual Property (CVIP) Trust Fund for 
Central Administrative Services, as well as their associated statements of trust as 
contained in Doc. T97-042, and further, to approve other changes in the Statements of 
Trust as outlined in the executive summary. 

Chair Karam then introduced Professor Ronald DiPippo, the new President of the Faculty Senate at 
the Dartmouth campus. 

Trustee Hoff gave the report on the Development Committee which had met on June 3rd. The 
Committee had discussed the progress of the September 18 fundraising event which is expected to be a 
sell-out and the largest fundraising event in the University's history. Trustee Hoff reported that there had 
also been a progress report of the Campus Capital Campaigns and the State Match Program. Trustee 
Hoff also reported that Mr. Ronald Suduika will begin his position as Executive Director of the University 
of Massachusetts Foundation and would be working on the coordination of the campus foundations. 



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Board of Trustees 
June 4, 1997 



Chair Karam turned to Trustees' Giblin and O'Leary for the report on the Administrative Redesig n - 
Update presented to the Committee of the Whole. Trustee Giblin reported that there is much more work 
to be done and that the Trustees must work together with the Chancellors and their staffs if they are to 
complete the task. Several Trustees commented on the need to work collaboratively and move forward. 

Chair Karam then spoke of the presentation at the Committee on the Whole of the Marine Science Lab 
and that this Lab was the property of the entire Southeast area working towards economic development. 

Trustee Bogan then reported for the Athletic Committee and commended the University for its 
compliance with Title IX. The Board members expressed their thanks to the Chancellors and Athletic 
Directors for their vision in this area. 

The next item under Other Business was the Joint Admissions Tuition Advantage Program. Chair 
Karam reported that this item had been tabled by the Committee on Administration and Finance so that 
the President could discuss this issue further with the Board of Higher Education. Because the item was 
tabled it could not come under the Committee report. It has been determined that the Program has 
already been implemented and the University is receiving inquiries from colleges with students planning 
on taking advantage of the Program. He further reported that due to the current status of the Program 
throughout the state it was recommended that the Board adopt the motion to approve the Program. 

There was discussion among the Board over this issue and it was noted that it needs to be monitored 
closely with regular reports to the Board, particularly with respect to equity among juniors in the 
Program versus those not in the Program. It was moved, seconded and 

VOTED : To approve the participation of the University of Massachusetts, effective in the Fall 
semester of 1997, in the Joint Admissions Tuition Advantage Program established by the 
Board of Higher Education by vote of December 17, 1996 (No. 97-11). 

Trustee Flores voted against the motion. 

The next item was the Department of Defense Exclusion List . It was moved, seconded and 

VOTED : WHEREAS, current Department of Defense Regulations contain a provision making it 
mandatory that the Chairman of the Board, the President, the Secretary and the 
designated Facility Security Officer meet the personnel clearance requirements 
established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion from the 
personnel clearance requirements of certain members of the Board of Trustees and other 
officers, provided that this action is recorded in the minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, the President, 
the Secretary and the designated Facility Security Officer at the present time do possess 
or will be processed for the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any duties as 
Chairman of the Board, the President, Secretary or other person designated as Facility 
Security Officer, such individual shall immediately make application for the required 
security clearance; and 



-6- 



Board of Trustees 
June 4, 1997 



BE IT RESOLVED FURTHER that the following members of the Board of Trustees and 
other officers shall not have, and can be effectively excluded from access to all classified 
information in the possession of the University and do not occupy positions that would 
enable them to affect adversely policies or practices in the performance of classified 
contracts for the Department of Defense or the User Agencies of its Industrial Security 
Program: 



NAME 


TITLE 


Brian Andriolo 


Trustee 


James Arciero 


Trustee 


Peter J. Berlandi 


Trustee 


Diane E. Bissonnette 


Trustee 


Daniel E. Bogan 


Trustee 


Sean M. Carter 


Trustee 


David C. Croft 


Trustee 


Grace K. Fey 


Trustee 


Heriberto Flores 


Trustee 


Michael T. Foley, M.D. 


Trustee 


William E. Giblin 


Trustee 


Robert J. Haynes 


Trustee 


Charles J. Hoff 


Trustee 


Myra H. Kraft 


Trustee 


Peter K. Lewenberg 


Trustee 


Robert M. Mahoney 


Trustee 


Ogretta V. McNeil 


Trustee 


Christy P. Mihos 


Trustee 


John M. Naughton 


Trustee 


James F. O'Leary 


Trustee 


Timothy Sweeney 


Trustee 


em was Appointments to the Nominating Committee 



Trustee Giblin will chair the Committee and Trustees Bissonnette, Fey, Flores and Mihos have agreed to 
serve. He asked for the Committee's report to be completed for the August meeting. 

General Counsel Kirby and Chancellor Lazare then gave an Update on Transaction between 
University of Massachusetts and Memorial Health Care, Inc . It is intended that legislation would be 
completed by mid-July. Trustee Haynes inquired about the status of the relationship with the unions 
involved. Chair Karam asked that this matter be discussed in executive session. 

Trustee Arciero announced that the Music Program on the Dartmouth campus had not been cut as 
earlier reported. 

Chair Karam then asked for a motion to go into Executive Session to discuss issues relating to 
Collective Bargaining , Litigation and Awards of Tenure . He indicated that the Board would not 
reconvene in open session. 



-7- 



Board of Trustees 
June 4, 1997 



Chair Karam voted for the motion as did Trustees Andriolo, Arciero, Berlandi, Bissonnette, Bogan, 
Flores, Foley, Giblin, Haynes, Hoff, Lewenberg, Mahoney, McNeil, Mihos, Naughton and O'Leary. The 
time was 11:08 a.m. 



Axjii^^^v 



Barbara F. DeVico 
Staff Assistant 



-8- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, August 6, 1997; 9:15 a.m. 

Fisher Recital Hall/Durgin Hall 

South Campus 

University of Massachusetts 

Lowell, Massachusetts 

Trustees and Trustee Staff : Chair Karam; Vice Chairs Haynes and O'Leary; Trustees Berlandi, Carpenter, 
Dubilo, Fey, Flores, Foley, Giblin, Hoff, Kraft, Lewenberg, Mahoney, Mihos, Murray, Naughton, 
Osterhaus, Tirrell and Tremblay 

Trustees Absent : Trustees Bissonnette and Bogan 

University Administration : President Bulger; Acting General Counsel Haskell; Chancellors Cressy, 
Hogan, Lazare, Penney and Scott; Vice President Botman 

Faculty Representatives : Professors Cooke, DiPippo, Disch, May and Phelan 

Chair Karam convened the meeting at 9: 20 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the June 4, 1997 meeting of the Board. 

Chair Karam then introduced the newest members to the Board: Mr. Edward Dubilo, Mr. Brian Tirrell 
from UMASS Amherst, Mr. Michael Murray from UMASS Boston, Mr. Sean Carpenter from UMASS 
Dartmouth, Mr. Keith Tremblay from UMASS Lowell and Ms. Kerri Osterhaus from UMASS Worcester. 

President Bulger first thanked Chancellor Hogan for his hospitality and then informed the Board of 
the 8% increase in this year's budget and how he looked forward to working with Governor Cellucci. He 
then introduced Provost-elect at the Amherst campus, Cora Bagley Marrett, and welcomed the newest 
members to the Board. He also acknowledged Ogretta McNeil's work on the Board as well as that of Rina 
Spence and Bill Poduska. 

Chair Karam introduced the Consent Agenda . He noted that the action approving Lease of Space 
included a technical change by deleting certain extraneous language. It was moved, seconded and 

VOTED : To approve the following votes listed as items #a-e on the Board Consent Agenda: 

a. Clinical Management Board Minutes. March 20. 1997 (Doc. T97-077) 

1. Clinical Management Board Minutes, January 16 and February 11, 1997 

To approve the minutes of the January 16, 1997 and the February 11, 1997 
Clinical Management Board meetings as recorded. 

2. Credentialling Report 

To approve the Credentialling Report as presented by Gerald Steinberg, M.D. 



Board of Trustees 
August 6, 1997 



3. Report of the Finance Committee and the Unaudite d Financial Statements 

To approve the Report of the Finance Committee and the Unaudited Financial 
Statements for January, 1997 and the forecast for February, 1997. 

b. Clinical Management Board Minutes. April 17. 1997 (Doc. T97-077) 

1. Clinical Management Board Minutes. March 20. 1997 

To approve the minutes of the March 20, 1997 Clinical Management Board 
meeting as recorded. 

2. Recommendation of the Hospital Executive Committee 

To accept the recommendation of the Hospital Executive Committee to revoke 
the clinical privileges and medical staff membership of Dr. Juanita Lamar. 

3. Report of the Finance Committee and the Unaudited Financial Statements 

To approve the Report of the Finance Committee and the Unaudited Financial 
Statements for February, 1997 and the forecast for March, 1997. 

c. Committee on Academic and Student Affairs - July 29, 1997 

1. Revisions to the Procedures for University Approval of New Academic Deg ree 

Programs. Program Changes and Program Terminations (Doc. T92-012. as 
amended) 

To approve the revisions to the Policy and Procedures for Approval of New 
Academic Degree Programs, Program Changes, and Program Terminations, as 
contained in Doc. T92-012, as amended. 

d. Committee on Administration and Finance -July 30. 1997 

1. Change in Parking Regulations. University of Massachusetts Amherst (Doc. 
T97-073) 

To approve, effective September 1, 1997, the Parking Regulations for the Amherst 
campus, as contained in Doc. T97-073, subject to applicable collective bargaining 
agreements or statutory requirements, and to ratify the President's approval of 
modifications to the Amherst parking garage and metered parking rates. The 
Parking Regulations shall supersede and rescind the Motor Vehicle and Parking 
Regulations, Doc. T82-023C, as amended. 

2. Authorization for Designated Officials to Execute Amendments to Contract 
Between t he University and Building Authority (Doc. T97-068) 



B 



i 



Board of Trustees 
August 6, 1997 



BE IT RESOLVED: 

WHEREAS, by Section 33 and other provisions of Chapter 142 of the Acts of 1991 
the University of Lowell became the University of Massachusetts at Lowell, the 
Board of Trustees of the University of Lowell was abolished and the rights, 
powers, duties and properties of the Board of Trustees of the University of 
Lowell "shall hereafter be exercised, performed and held" by the Board of 
Trustees (the "Trustees") of the University of Massachusetts (the "University"); 

WHEREAS, Section 40 of said Chapter 142 provides, among other things, that 
"whenever the name of . . . the board of trustees of the University of Lowell, or of 
. . . the University of Lowell, or any words connoting the foregoing appear in any 
general or special law, or in any order, bylaw, rule, regulation or other 
document, such name or words shall be construed as referring to the board of 
trustees of the University of Massachusetts or the University of Massachusetts 
respectively "; 

WHEREAS, by Section 20 of Chapter 267 of the Acts of 1995, which Chapter 267 
became effective not earlier than December 22, 1995, the University of Lowell 
Building Authority and the Southeastern Massachusetts University Building 
Authority were discontinued effective July 1, 1995 and on and after such date the 
"rights, powers, duties and properties of University of Lowell Building Authority 
and Southeastern Massachusetts University Building Authority" are to be 
"exercised, performed, owned and held by the University of Massachusetts 
Building Authority"; 

WHEREAS, Section 22 of said Chapter 267 provides as follows: 

On July first, nineteen hundred and ninety-five all real and personal property 
and all duly existing contracts, leases and obligations, including without 
limitation obligations pursuant to bonds, of the University of Lowell Building 
Authority and the Southeastern Massachusetts University Building Authority 
that are in force and effect on June thirtieth, nineteen hundred and ninety-five 
and do not otherwise terminate on such date shall be and are hereby transferred 
to the University of Massachusetts Building Authority; all such contracts, leases, 
and obligations shall after such date be obligations of and be performed by the 
University of Massachusetts Building Authority and shall be payable solely from 
the sources provided for the payment thereof on June thirtieth, nineteen hundred 
and ninety-five; and no existing right or any type shall be enlarged, diminished 
or impaired by the provisions of this act; provided, however, that nothing in this 
act shall be construed to prohibit any contract, lease or obligation transferred to 
the University of Massachusetts Building Authority by this act from being 
amended as provided in such contract, lease or obligation. Without limiting the 
generality of the foregoing provisions of this section, (a) the rights, remedies, 
security and obligations of any person holding any bonds issued by the 
University of Lowell Building Authority or the Southeastern Massachusetts 
University Building Authority and outstanding on or after July first, nineteen 
hundred and ninety-five shall not be enlarged, diminished or impaired by this 
act, and all such bonds shall on and after July first, nineteen hundred and ninety- 
five, be obligations of the University of Massachusetts Building Authority shall 
be payable solely from the sources provided therefor on June thirtieth, nineteen 
hundred and ninety-five; (b) all references to the University of Lowell Building 
Authority or Southeastern Massachusetts University Building Authority in any 



Board of Trustees 
August 6, 1997 

trust agreement, bond resolution, bond, lease or other contract transferred to or 
*\ made an obligation of the University of Massachusetts Building Authority by this 

act shall be deemed to refer after June thirtieth, nineteen hundred and ninety-five 
to the University of Massachusetts Building Authority; (c) all references to the 
University of Lowell or the trustees of the University of Lowell in any trust 
agreement, bond resolution, bond, lease or other contract transferred to or made 
an obligation of the University of Massachusetts Building Authority by this act 
shall be deemed to refer after June thirtieth, nineteen hundred and ninety-five to, 
respectively, the Lowell campus of the University of Massachusetts and the 
board of trustees of the University of Massachusetts; and (d) all references to 
Southeastern Massachusetts University or the trustees of Southeastern 
Massachusetts University in any trust agreement, bond resolution, bond, lease or 
other contract transferred to or made an obligation of the University of 
Massachusetts Building Authority by this act shall be deemed to refer after June 
thirtieth, nineteen hundred and ninety-five to respectively, the Dartmouth 
Campus of the University of Massachusetts and the board of trustees of the 
University of Massachusetts; 

WHEREAS, the University of Massachusetts Building Authority (the 
"Authority") and the Trustees, acting in the name and on behalf of The 
Commonwealth of Massachusetts (the "Commonwealth"), desire to amend the 
Restated Contract for State Financial Assistance and Services dated as of 
September 1, 1976, as amended (the "Restated Contract"), between the 
Commonwealth, acting by and through the Trustees (successor to the Board of 
Trustees of the University of Lowell), and the Authority (successor to the 
University of Lowell Building Authority) to designate as signers of certain 
documents on behalf of the Authority the officials specified herein; 



I 



NOW, THEREFORE, 

1. The Restated Contract is construed by this resolution as provided in Section 40 
of said Chapter 142 (quoted above) and is deemed by this resolution to have been 
amended as provided in Section 22 of said Chapter 267 (quoted above). 

2. Each of the Chairman of the Trustees, the Vice Chairman of the Trustees, the 
President of the University and the Vice President for Management and Fiscal 
Affairs and Treasurer of the University, acting alone, is authorized, in the name 
and on behalf of the Commonwealth, to execute, acknowledge, seal with the 
common seal of the University and the Trustees and deliver a Fourth Supplement 
to Restated Contract for State Financial Assistance and Services (the "Fourth 
Supplement") between the Authority and the Commonwealth, acting by and 
through the Trustees, containing (i) provisions amending the Restated Contract 
to the effect that all documents, requisitions, certificates, checks and other 
writings specified by the Restated Contract to be signed by one or more officers 
or members of the Authority may be signed by any one, acting alone, of the 
Chairman, Vice Chairman, Secretary-Treasurer, Assistant Secretary-Treasurer or 
Executive Director of the Authority and (ii) such other provisions as may be 
approved by the signer of the Fourth Supplement on behalf of the Trustees; such 
signer is hereby authorized to approve and determine the provisions of the 
Fourth Supplement, the execution thereof by such signer shall conclusively 
identify such document as the Fourth Supplement and conclusively evidence the 
determination and approval thereof by such signer, and the making of the Fourth 
Supplement by the Trustees in the name and on behalf of the Commonwealth is 
hereby authorized. 



* 



Board of Trustees 
August 6, 1997 



> 



* 



3. Each of the trustees and officers of the University is and all of them and the 
employees, agents and attorneys of the University are authorized and directed, in 
the name and on behalf of the Commonwealth, acting by and through the 
Trustees, from time to time as such Trustee, officer, member, employee, agent or 
attorney, one or more, deem it appropriate or necessary, to do all acts and things 
and execute any and all documents or instruments required or appropriate in 
connection with the matters authorized in this resolution and the effectuation of 
such matters, the doing of any such acts or things or the execution of any such 
documents or instruments to be conclusive evidence that the same is authorized 
by this resolution. 

4. In addition to the authorizations granted by this resolution, and without 
limiting any such authorizations, the Trustees, pursuant to Chapter 75, Section 
3A of the Massachusetts General Laws and every other authority thereunderto 
the Trustees enabling, hereby delegate to the President of the University and the 
Vice President for Management and Fiscal Affairs and Treasurer of the 
University, each acting alone, the power to do all acts and things and exercise all 
powers each such officer is authorized by this resolution to do or exercise, such 
delegation being intended to be commensurate with the authorizations granted 
to each such officer by this resolution, and such delegation being in the judgment 
of the Trustees necessary or desirable. 

3. Lease of Space, University of Massachusetts Building Authority (Doc. T97-067 f 

as amended) 

BE IT RESOLVED: 

WHEREAS, University of Massachusetts Building Authority (the "Authority") is 
authorized by Chapter 773 of the Acts of 1960, as amended, among other things, 
to provide dormitories, dining commons and other buildings and structures for 
the use of the University of Massachusetts (the "University"), its students, staff 
and their dependents and certain organizations related to the University, to alter, 
enlarge, reconstruct, remodel and do other work in or upon or respecting any 
building or structure, to provide and install furnishings, furniture, machinery, 
equipment and facilities in or for or related to any such building or structure and 
to initiate projects for such purposes upon written request made by authority of 
the Board of Trustees (the "Trustees") of the University; and 

WHEREAS, the Authority is further authorized by said Chapter 773 to acquire 
real and personal property by lease, purchase and otherwise; and 

WHEREAS, in the judgment of the Trustees it is in the best interests of the 
University, its students, staff and their dependents and said organizations that 
the Authority initiate the project described below; 



NOW, THEREFORE, BE IT RESOLVED THAT 

1. The President of the University be and he hereby is authorized in the name 
and on behalf of the Trustees to make a written request of the Authority that the 
Authority initiate the following projects: 



Board of Trustees 
August 6, 1997 



(a) through lease, purchase or otherwise, to obtain premises within the building 
located at One Beacon Street in the City of Boston, suitable for the offices of the 
President and Board of Trustees of the University, and for such ancillary and 
auxiliary purposes, including offices for the University of Massachusetts 
Foundation, Inc., as the President may determine; and 

(b) in addition to or in lieu of said project, any other renovation, repair, 
remodeling or other work in or upon or respecting any building or structure 
owned, leased or used by the University or the Authority, or the provision, 
installation, renovation, repair or remodeling of or other work upon or respecting 
any furnishings, furniture, machinery, equipment or facilities with respect to any 
such building or structure, all as may be requested of the Authority in writing 
from time to time by the President of the University or by the Vice President for 
Management and Fiscal Affairs and Treasurer of the University, the making of 
any such request being hereby authorized; 

2. The President of the University and all other officers of the University be and 
they are and each acting singly is authorized and directed to do such other things 
and to take such other action as the officer or officers so acting shall, as 
conclusively evidenced by their taking the action hereby authorized, deem 
necessary or desirable to be done or taken to carry into effect the undertaking by 
the Authority of the projects hereby authorized. 

4. Revision t o the Policy on Contracts for Consultant Services (T92-031, as revised 

(Appendix D) 

To amend the Consultant Services Policy, as contained in Doc. T92-031 
(Appendix D, as revised), in Section III.B.l by striking out the figure "$100,000" 
and replacing it with the figure "$150,000." 

• University Audit Reports 

1. Limited Scope Review of the Medical Center Cafeteria and Selected 
Related Operations. UMASS Worcester (Doc. T97-057) 

2. Review o f the Aux iliary Services Food Conces sions Operations, 
UMASS Amherst (Doc. T97-058) 

3. Follow-Up Review of Operatio ns at the Top of the Campus, UMASS 
Amherst (Doc. T97-059) 

4. Follow-Up Review of Operations at the Faculty Club, Inc., UMASS 
Amherst (Doc. T97-060) 

5. Contractual Compliance Review of Mullins Center Operations, 
UMASS Amherst (Doc. T97-061) 

•External A udit Reports 

6. NCAA Agreed-Upon Procedures Report. Department of Athletics, 
FY1996. KPMG Peat Marwick. UMASS Amherst (Doc. T97-062) 



I 



Board of Trustees 
August 6, 1997 

7. NCAA A greed-Upon Procedures Repor t, Minuteman Court Club and 
Related UMASS Athletic Fund Records. UMASS Foundation. FY1996. 
KPMG Peat Marwick. UMASS Amherst (Doc. T97-063) 

8. University Auditor's Office Status Report as of June 20. 1997 (Doc. T97- 

Chair Karam then gave the report on the Committee on Academic and Student Affairs, which had 
held its meeting on July 29. He asked Vice President Botman to update the Board on the M. S. in 
Mechanical Engineering (Stage II). University of Massachusetts Dartmouth. Vice President Botman 
reported that this program focuses on the needs of regional industry and extends the manufacturing 
thrust of the department. 

It was moved, seconded and 

VOTED : To approve the Stage II proposal for an M.S. in Mechanical Engineering at the University 
of Massachusetts Dartmouth, as contained in Doc. T91-112, Addendum 1. 

Trustee Fey gave the report on the Administration and Finance Committee and briefly recapped the 
action and discussion items from the meeting held on July 30. She also highlighted the discussions held 
that day by the Subcommittee on Financial Indicators and the Ad Hoc Committee on Investments, 
Commercial Ventures and Intellectual Property. 

The first item was the Allocation of FY 1998 State Funds . It was moved, seconded and 

VOTED : To approve the following fiscal year 1998 state appropriation allocations: 

Amherst $195,327,195 

Boston $70,126,728 

Dartmouth $39,802,035 

Lowell $60,449,843 

Worcester $31,110,389 

Donahue Institute for Governmental Services * $801,400 

University Health and Welfare Fund ** $2,674,002 

President's Reserve $3,000,000 

TOTAL $403,291,592 



* 
** 



Includes UMass Economic Project. 
Reserve for state employee dental insurance. 



Further, to authorize the President to make adjustments to the campus allocations for support 
of the President's Office and Central Administrative Services, to be reflected in the final 
allocation schedule submitted to the state. 



-7- 



Board of Trustees 
August 6, 1997 

The next item was the Naming of the Eugene M. and Ronnie F. Isenberg School of Management. 
University of Massachusetts Amherst . Chancellor Scott provided some background information on the 
Isenbergs. It was moved, seconded and 

VOTED : To name the School of Management at the Amherst campus the Eugene M. and Ronnie F. 
Isenberg School of Management, and to accept with sincere gratitude the generous gift of 
the Isenbergs. 

Trustee Giblin then gave the report on the Audit Committee. The Audit reports had been voted on 
under the Consent Agenda. Trustee Giblin commended the Audit staff for the quality of work shown in 
the audit reports. 

Trustee Hoff gave the report on the Development Committee . He first thanked President Bulger, the 
Chancellors and the Development Officers for their success with this year's fundraising efforts. He also 
expressed his pleasure with the progress associated with the fundraising event scheduled for September 
18. 

Chair Karam then reported on the Committee of the Whole . He reported that Vice Presidents 
Botman and Lenhardt had made a presentation on New Campus Peer Groups/Performance 
Measurement System . He thanked the Vice Presidents and looked forward to continued attention in 
these areas. 

Chair Karam then turned to Trustee Foley for a report on the University Health Care Committee . 
Trustee Foley reported that this Committee had been formed in 1996 to study ways to incorporate health 
care into a system-wide issue and find ways that savings could be realized. It is expected that this issue 
will continue to be discussed by the Chair, the President and the Chancellors. 

The next item under Other Business was the Department of Defense Exclusion List . It was moved, 
seconded and 

VOTED : WHEREAS, current Department of Defense Regulations contain a provision making it 
mandatory that the Chairman of the Board, the President, the Secretary and the 
designated Facility Security Officer meet the personnel clearance requirements 
established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion from the 
personnel clearance requirements of certain members of the Board of Trustees and other 
officers, provided that this action is recorded in the minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, the President, 
the Secretary and the designated Facility Security Officer at the present time do possess 
or will be processed for the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any duties as 
Chairman of the Board, the President, Secretary or other person designated as Facility 
Security Officer, such individual shall immediately make application for the required 
security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of Trustees and 
other officers shall not have, and can be effectively excluded from access to all classified 
information in the possession of the University and do not occupy positions that would 
enable them to affect adversely policies or practices in the performance of classified 
contracts for the Department of Defense or the User Agencies of its Industrial Security 
Program: 



-8- 



9 



Board of Trustees 
August 6, 1997 



■ 



1 



NAME 

Peter J. Berlandi 
Diane E. Bissonnette 
Daniel E. Bogan 
Sean Carpenter 
Edward A. Dubilo 
Grace K. Fey 
Heriberto Flores 
Michael T. Foley, M.D. 
William E. Giblin 
Robert J. Haynes 
Charles J. Hoff 
Myra H. Kraft 
Peter K. Lewenberg 
Robert M. Mahoney 
Christy P. Mihos 
Michael Murray 
John M. Naughton 
James F. O'Leary 
Kerri Osterhaus 
Brian Tirrell 
Keith Tremblay 



TITLE 

Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 



The next item was an Update on the Transaction between University of Massachusetts and 
Memorial Health Care, Inc. Chancellor Lazare reported on the status of legislation enabling the merger 
between the clinical division with Memorial Health Care. He directed the Board's attention to four pieces 
of correspondence distributed to members of the Health Care Committee and interested Legislators. He 
expressed his hope that action will come together in September and October of this year. 

Chair Karam reiterated his belief that the pending merger is in the best interests of central 
Massachusetts, the state, and the University. He commended Chancellor Lazare for his leadership during 
this ongoing matter. President Bulger thanked the Chancellor for the update and implored everyone to 
lend their support to this project. 

Trustee Giblin then gave the Nominating Committee Report for Officers and Committee Chairs of 
the Board of Trustees . He reported that the Nominating Committee had met and are recommending the 
Slate of Officers listed in Doc. T97-075. 

Trustee Giblin wished to acknowledge Trustee Lewenberg's leadership as Chair of the Building 
Authority and noted newly-elected Vice Chair for Academic and Student Affairs, Trustee Naughton's 
interest in Academic Reallocation follow-up work as part of Administrative Redesign. 

It was moved, seconded and 

VOTED : To confirm and approve the Officers and Committee Chairs of the Board set 
forth in Doc. T97-075, all to serve until the next annual meeting of the Board. - 

Following the vote of the Nominating Committee, Trustee Giblin mentioned an item discussed by the 
Committee regarding Trustee Orientation. He invited members of the Board to write to him suggesting 
ways Trustees may become better oriented with the University/campus structure upon appointment. 
Chair Karam expressed his appreciation to Trustee Giblin and the Nominating Committee for their work. 



Board of Trustees 
August 6, 1997 

Chair Karam then acknowledged Faculty Representatives from each campus and asked them to 
introduce themselves: Dr. John Cooke, UMASS Medical Center; Professor William Phelan, UMASS 
Lowell; Professor Ronald DiPippo, UMASS Dartmouth; Professor Estelle Disch, UMASS Boston; and 
Professor Ernest May, UMASS Amherst. 

Chair Karam noted that the Faculty Representatives provide a guiding role for the Trustees. 

Chair Karam then asked for a motion to go into Executive Session to discuss A ppointments and 
Awards of Tenure and an Honorary Degree, UMASS Worcester . He indicated that the Board would not 
reconvene in open session. 

Chair Karam voted for the motion as did Trustees Berlandi, Dubilo, Fey, Flores, Foley, Giblin, 
Haynes, Hoff, Kraft, Lewenberg, Mihos, O'Leary, Osterhaus and Tirrell. The time was 10:40 a.m. 



r 

Barbara F. DeVico 

Secretary to the Board of Trustees 



-10- 



"> 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, October 8, 1997; 9:15 a.m. 

VJ.P. Room 

3rd Floor, Mullins Center 

University of Massachusetts 

Amherst, Massachusetts 

Committee and Committee Staff : Chair Karam; Vice Chair Foley; Trustees Berlandi, Bissonnette, Bogan, 
Carpenter, Dubilo, Fey, Flores, Giblin, Hoff, Lewenberg, Mahoney, Mihos, Murray, Naughton, Osterhaus, 
Tirrell and Tremblay 

Committee Members Absent : Trustees Haynes, Kraft and O'Leary 

University Administration : President Bulger; Vice President and General Counsel Kirby; Chancellors 
Cressy, Hogan, Lazare, Penney and Scott; Mr. Suduiko, Executive Director, UMASS Foundation 

Faculty Representatives : Dr. Cooke; Professors DiPippo, Disch, O'Connor and Phelan 

Chair Karam convened the meeting at 9:30 a.m. and noted the success of the five campus system since 
the merger with the University of Lowell and Southeastern Massachusetts University. 

The next item on the agenda was the President's Report . President Bulger first mentioned the recent 
Inauguration and Fundraising event and thanked everyone involved. He made special mention of the 
University's graduate string quartet, the chamber choir, the graduate jazz trio, the jazz ensemble and 
Coral Chamber singers. He also acknowledged Professor Ernest May from the Music Department at the 
Amherst campus for the music provided at the Inauguration. He thanked the Trustees for their 
generosity; an excess of $3 million dollars in scholarship funds have been raised. 

He then thanked the campuses for their recent convocations. 

President Bulger reported on the task force led by Vice Presidents Botman and Chmura to assess the 
effects of the growing market on continuing education looking for ways the University can respond. 

President Bulger reported on the guidance counselor's workshop held recently on the Amherst 
campus where counselors received information, for the first time, about all five campuses. 

President Bulger then thanked Vice President Lenhardt and his staff for their work and expressed his 
pleasure with this year's budget. He mentioned Professor Craig Moore, University Professor of Political 
Economy, who is involved with a Benchmarks Journal to be published at the end of this month. This 
Journal will be published on a quarterly basis dedicated to the task of measuring the performance of the 
Massachusetts economy and where it is headed. 

He then asked each Chancellor to comment on their campus' alcohol policies in light of recent 
alcohol-related tragedies. Chancellor Scott reported that the consumption of alcoholic beverages is 
prohibited in all open spaces except at tailgating events. A task force has been set up to study the issue, 
results are expected in six weeks. 



Board of Trustees 
October 8, 1997 

Chancellor Penney reported that the Boston campus is essentially alcohol free and that the campus 
I houses a substance abuse drop-in center. 

Chancellor Cressy reported that there is a three day orientation in place on the Dartmouth campus for 
incoming students that stresses appropriate social behavior. He reported that there is a new Vice 
Chancellor for Student Affairs that will access off-campus drinking. The campus has also hired a full- 
time alcohol education counselor. Chancellor Cressy thanked the students, Trustee Carpenter and 
President of the Student Senate, Terry Gollen for their support. 

Chancellor Hogan reported that there are no liquor licenses on campus but that drinking of alcoholic 
beverages is permitted in the dormitories of students over twenty-one years of age. There is a monitoring 
system in place and an agreement with the Chief of Police of the City of Lowell that allows the Lowell 
campus police force to be called in incidents that involve UMASS Lowell students. 

Chancellor Lazare reported that the Worcester campus is alcohol free except in special circumstances. 
There are on-going educational programs on campus. 

There was then a lengthy discussion about the subject. Vice Chancellor Robinson from the Amherst 
campus reported that on-campus rules governing drinking have been tightened in recent years; this has 
resulted in shifting alcohol-related incidents into the local community. 

Chair Karam suggested forming a Task Force to study the current alcohol policies that would report 
back to the Board in 30-45 days. Trustees Dubilo and Berlandi expressed an interest in these discussions. 
He also urged the Chancellors to continue to find ways to combat underage drinking and provide 
meaningful education around the issue. 

The next item was Consideration of the Minutes of the previous meeting of the Board. Without 
▼ discussion, it was moved, seconded and 

VOTED : To approve the minutes of the August 6, 1997 meeting of the Board. 

Chair Karam then introduced the Consent Agenda . It was moved, seconded and 

VOTED : To approve the following votes listed as items #a-e, on the Board Consent Agenda: 

a. Clinical Management Board Minutes. May 22, 1997 (Doc. T97-099) 

1. Clinical Management Board Minutes f April 17, 1997 

To approve the minutes of the April 17, 1997 Clinical Management Board 
meeting as recorded. 

2. Credentialling Report 

To approve the Credentialling Report as recommended by the Medical 
Staff Credentials Committee, and the Hospital Executive Committee as 
presented by Gerald Steinberg, M.D. 

3. Report of the Finance Committee 



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To approve the Report of the Finance Committee including the 
Unaudited Financial Statements for March, 1997 and the Financial 
Forecast for 1997. 



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Board of Trustees 
October 8, 1997 

b. Clinical Management Board Minutes, June 19, 1997 (Doc. T97-099) 

1. Clinical Management Board Minutes, May 22. 1997 

To approve the minutes of the May 22, 1997 Clinical Management Board 
meeting as recorded. 

2. Report of the Finance Committee 

To approve the Report of the Finance Committee including the 
Unaudited Financial Statements for April, 1997 and the Financial 
Forecast for 1997. 

3. Fiscal Year 1998 Budg et 

To approve the Fiscal Year 1998 Budget as proposed. 

4. Amendment to the FY1997 Budg et 

That the Fiscal Year 1997 Budget approved on July 11, 1996 hereby be 
amended to rescind the ten million dollars ($10,000,000.00) contribution 
to the Capital Improvement Reserve Fund. 

5. Credentialling Report 

To approve the Credentialling Report as recommended by the Medical 
^ Staff Credentials Committee, and the Hospital Executive Committee at 

their May, 1997 meetings and as presented by Gerald Steinberg, M.D. to 
the Clinical Management Board. 

c. Committee on Acade mic and Stu dent Affairs - September 30, 1997 

1. Constituti on of the Graduate St udent Assembly, U MASS Boston (Doc. 

T97-098) 

To approve the Constitution of the Graduate Student Assembly of the 
University of Massachusetts Boston as contained in Doc. T97-098. And, 
further to rescind Doc. T96-051. 

d. Committee on Admi nistration an d Finance - October 1, 1997 

1. Establishment and Transfer of Endowment Funds (Doc. T97-086) 

In accordance with Section lA(e) and 11 of Chapter 75 of the General 
Laws, to establish the following University of Massachusetts 
endowments, and to authorize the President or his designee to request 
the University of Massachusetts Foundation to manage this endowment 
on behalf of the University: 



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Board of Trustees 
October 8, 1997 

- Alexander Stewart Scholarship Fund 

Dennberg Learning Fund 
Gregg T. Hughes Memorial Fund 
Elin J. Stene Scholarship 
Paul E. Tsongas Memorial Fellowship Fund 
Honors Scholarship Fund 
Computer Science Scholarship 
Leo F. King Scholarship 

2. Lease of Space. UMASS Worcester (Doc. T97-085) 

WHEREAS, the University of Massachusetts Worcester presently 
operates a federally funded program, QARC, located at Roger Williams 
Hospital in Providence, Rhode Island; and 

WHEREAS, such program furthers the educational and research 
missions of the University of Massachusetts Medical School; and 

WHEREAS, a lease of space is incidental to the continuing operation of 
this program. 

NOW THEREFORE, IT IS VOTED to authorize the President to take all 
actions necessary, or to subdelegate such action or actions to the 
Chancellor, to enter into a lease for space incidental to the continuing 
operation of the QARC program at the Roger Williams Hospital in 
accordance with the requirements of Massachusetts General Laws 
I chapter 75, Section 36C. 

3. Endowed Professorships. UMASS Worcester (Doc. T97-100) 

In accordance with section lA(e) and 11 of Chapter 75 of the General 
Laws, to establish the following University of Massachusetts 
endowments at the Worcester campus, and to authorize the President or 
his designee to request the University of Massachusetts Foundation to 
manage the investment of those endowments on behalf of the University: 

The Irving S. and Betty Brudnick Endowed Chair in Psychiatry; Anthony 
J. Rothschild, M.D., first incumbent 

The Dr. John Meyers Professorship in Primary Care Medicine; Gerald 
Gurwitz M.D., first incumbent 

The William and Doris Krupp Faculty Development Professorship in 
Medicine; Also Rossini, M.D., first incumbent 

e. Audit Committee - September 17. 1997 

'University Audit Reports 



1. Follow-Up Audit. Vehicle Fuels Controls Survey. UMASS Amherst 

(Doc. T97-080) 



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Board of Trustees 
October 8, 1997 

2. University Auditor's Office Status Report as of Augus t 29. 1997 (Doc. 
T97-082) 

3. University Auditor's Office Three Year Audit Plan - FY1998, FY1999, 
FY2000 (Doc. T97-081) 

4. Management Letter, Universit y Health Services a nd Supplemental 
Health Benefits Plan. FY96. UMASS Amherst (Doc. T97-083) 

Chair Karam then turned to Trustee Bissonnette for the report of the Committee on Academic and 
Student Affairs . Trustee Bissonnette reported that the tenure cases would be discussed in executive 
session. She then reported that the Committee had heard a report on Financial Aid, an introduction to the 
work of the Committee on Academic and Student Affairs, a system-wide Report on Outreach and 
Economic Development and the K-12 Education Outreach program. 

The action item was a Transfer of Tenure, UMASS Amherst 

It was moved, seconded and 

VOTED : To concur with the President in the transfer of tenure of Dr. Lynn Margulis from the 
Department of Biology to the Department of Geosciences at the University of 
Massachusetts Amherst. 

Trustee Fey gave the report of the Committee on Administration and Finance . She first thanked 
Trustee Berlandi for chairing the meeting in her absence. 

The first item was Fiscal Year 1998 University Operating Budg et Trustee Fey commended Vice 
President Lenhardt for his work with the operating budget summary. 

It was moved, seconded and 

VOTED : To approve the FY 1998 Operating Budget for the Amherst, Boston, Dartmouth, Lowell, 
and Worcester campuses, the System Administration, and the Maurice Donahue Institute 
for Governmental Services, as contained in Doc. T97-056. 

The next item was Fiscal Year 1999 State Budget Request Guidelines . This is an annual process 
including an authorization for the President to submit the FY1999 State appropriation using said 
guidelines. 

It was moved, seconded and 

VOTED : To approve the Budget Request Guidelines (Doc. T97-087), which will be utilized in 
developing a request to the state for support in the next fiscal year. 

And further, 

To authorize the President to prepare and submit the Fiscal Year -1999 State 
Appropriation request using approved Budget Request Guidelines. 

The next item was Fiscal Year 1997 Treasurer's Investment Report . Chair Karam commended Vice 
President Lenhardt and his staff for the success of this year's investments. 

It was moved, seconded and 



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Board of Trustees 
October 8, 1997 



VQTEDi To accept the Fiscal Year 1997 Treasurer's Investment Report as contained in Doc. T97- 
088. 

The next item was Charlton College of Business, UMASS Dartmouth; Authorization of Initiation 
and Financing of Project . Chancellor Cressy briefed the Board on this transaction. Chair Karam 
commended the Chancellor on this project. 

It was moved, seconded and 

VOTED : WHEREAS, University of Massachusetts Building Authority (the "Authority") is 
authorized by Chapter 773 of the Acts of 1960, as amended, among other things, to 
provide dormitories, dining commons and other buildings and structures for the use of 
the University of Massachusetts (the "University"), its students, staff and their 
dependents and certain organizations related to the University, to alter, enlarge, 
reconstruct, remodel and do other work in or upon or respecting any building or 
structure, to provide and install furnishings, furniture, machinery, equipment and 
facilities in or for or related to any such building or structure and to initiate projects for 
such purposes upon written request made by authority of the Board of Trustees (the 
'Trustees") of the University; and 

WHEREAS, the Authority is further authorized by said Chapter 773 to acquire real and 
personal property by lease, purchase and otherwise; and 

WHEREAS, in the judgment of the Trustees it is in the best interests of the University, its 
students, staff and their dependents and said organizations that the Authority initiate the 
project described below; 

NOW, THEREFORE, BE IT RESOLVED THAT 

1. The President of the University be and he hereby is authorized (a) in the name 
and on behalf of the Trustees to make a written request of the Authority that the 
Authority initiate a project (the "Project") consisting of the renovation of the 
Textile Science Building at the University of Massachusetts Dartmouth for use as 
the Earle P. Charlton College of Business and Industry, as described in Trustee 
Doc. T97-090; (b) if he should deem it advisable, to seek the assistance of the 
Commonwealth of Massachusetts Division of Capital Planning and Operations 
with respect to the Project; 

2. For financing purposes the Project may be undertaken separately or together 
with other projects of the Authority requested in writing pursuant to authority of 
the Trustees. 

3. The President of the University and all other officers of the University be and 
they hereby are and each acting singly is authorized and directed to request the 
Commissioner of Administration to approve in writing the undertaking by the 
Authority of the Project and to do such things and to take other action as the 
officer and officers so acting shall, as conclusively evidenced by their taking 
action hereby authorized, deem necessary or desirable to be done or taken to 
carry into effect the matters hereby authorized. 

4. The President, of the University be and he hereby is authorized, pursuant to 
Section 13 of the Policy for Management of University Funds (Trustee Doc. 



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Board of Trustees 
October 8, 1997 

T92-031, as amended), to approve an inter-campus loan in an amount not to 
J) - exceed $2,000,000 from the University of Massachusetts Worcester to the 

University of Massachusetts Dartmouth to be applied to the carrying out of the 
Project, to be repaid from the proceeds of the University of Massachusetts 
Building Authority bonds to be issued for the Project (the "Authority Bonds"), 
such loan to be on the terms prescribed by said Section 13 and as set forth in said 
Trustee Doc. T97-090. The University is authorized and directed and hereby 
pledges to pay all amounts payable with respect to the Authority Bonds from all 
monies from the gift given by the Charlton Charity Fund for the Project legally 
permitted to be applied to such purpose, from the Expendable Fund Balance of 
the University, and from all other funds of the University permitted by law to be 
applied to such purpose. 

5. The University hereby declares its official intent under Section 1.150-2(d)(l) and 

(e) of the Treasury Regulations as follows: 

The University reasonably expects that there shall be reimbursed from the proceeds of 
the Authority Bonds expenditures temporarily advanced for the Project by the 
University, the maximum principal amount of Authority Bonds expected to be issued, all 
or a portion of the proceeds of which are reasonably expected to be used for such 
reimbursement purposes, being $2,000,000. 

Trustee Giblin gave the report of the Administrative Redesign Committee . The Committee has 
accepted five objectives, it is expected that they will come back to the Board for approval by the February 
Board meeting. He then listed the objectives: re-engineer administrative support services to improve the 
overall satisfaction of the users of these services; restructure the administrative organization to reduce 
administrative costs; develop programs to improve student retention; increase revenue from sources 
other than tuition and fees; and reallocate resources to strategic initiatives. 

Trustee Giblin reported that this is a risk taking venture. Chair Karam commented that the 
administrative redesign process has been designed to improve the quality of the education at the 
University and that change will help us reach this goal. 

Chair Karam then thanked Chancellor Scott for honoring distinguished staff members from the 
Amherst campus. 

Chair Karam then turned to Trustee Bogan for the report of the Athletic Committee . Trustee Bogan 
reported that each campus as part of their athletic activity update reported on plans to insure compliance 
with Title IX. Chancellor Cressy had reported that a search for an athletic director at the Dartmouth 
campus is underway. Mr. Marcum had reported on the success of Garber Field. There was also a final 
update on the NCAA investigation involving the Minuteman Basketball team. Chair Karam reiterated 
that the Amherst campus did everything they were supposed to do and suggested that we put this issue 
behind us. 

Chair Karam then thanked Trustee Hoff for his leadership as Chair of the Development Committee 
and thanked him for his help with the success of the recent inauguration. Trustee Hoff reported that the 
Committee would be following up these efforts with a Board policy on fundraising. Chair JCaram then 
introduced Mr. Ronald Suduiko, Director of the UMASS Foundation. 

President Bulger then asked for more discussion on placing a moratorium on drinking alcoholic 
beverages at tailgating parties on the Amherst campus. Chancellor Scott announced that parking lots 
would be cleared out ten minutes before every football game and that this issue would be studied further. 



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Board of Trustees 
October 8, 1997 

General Counsel Kirby and Chancellor Lazare then provided an update on the Transaction between 

▼ University of Massachusetts and Memorial Health Care. Inc . General Counsel Kirby first reported that 

legislation that would authorize the merger moved from the Health Care Committee to Senate Ways and 

Means. There were a few amendments including an additional appointment to the board as well as a 

prohibition from the new entity ever being sold to a for-profit corporation. 

Chancellor Lazare reported that a consultant group has been hired by Senator Rosenberg to study 
whether or not the Commonwealth is being protected and getting a fair deal. Results so far have proven 
positive. 

Under the report of the Committee of the Whole, Chair Karam introduced the Mission Statement 
and Strategic Priorities of the University of Massachusetts . President Bulger reported his intention to 
reaffirm the University's mission which is to provide an affordable education of high quality and conduct 
programs of research and public service that advance our knowledge and improve the lives of the people 
of the Commonwealth. He then listed the five Strategic Priorities of the University: 

1) The University shall maintain the highest standard of academic excellence; 

2) The University shall maintain an atmosphere where each person, regardless of religious, ethnic, 
economic or social background, will be comfortable; 

3) The University shall offer and promote distinctive forms of public service; 

4) The University shall develop and manage its resources effectively; 

5) The University shall demonstrate the excellence and advance the unique missions of its five 
campuses. 

It was moved, seconded and 

VOTED : To adopt the Mission Statement and Strategic Priorities of the University of 
Massachusetts as restated in Doc. T97-101. 

Chair Karam then asked for a motion to go into Executive Session to discuss Appointments with 
Tenure University of Massachusetts Amherst and Awards of Tenure, University of Massachusetts 
Amherst, University of Massachusetts, Boston, University of Massachusetts Lowell and Honorary 
Degrees . He indicated that the Board would not reconvene in open session. The time was 10:50 a.m. 

Chair Karam voted for the motion as did Vice Chair Foley; Trustees Berlandi, Bissonnette, Bogan, 
Dubilo, Fey, Flores, Foley, Giblin, Hoff, Lewenberg, Mahoney, Mihos, Naughton, Osterhaus and Tirrell. 

Barbara F. DeVico 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, December 3, 1997; 9:15 a.m. 

Faculty Conference Room 

University of Massachusetts 

Worcester, Massachusetts 

Trustees and Trustee Staff : Chair Karam; Vice Chairs Foley and Haynes; Trustees Berlandi, Bissonnette, 
Carpenter, Dubilo, Fey, Flores, Giblin, Kraft, Lewenberg, Mahoney, Murray, Naughton, Osterhaus and 
Tremblay 

Trustees Absent : Trustees Bogan, Hoff, Mihos, O'Leary and Tirrell 

University Administration : President Bulger; Ms. Kirby, Vice President and General Counsel 

Faculty Representatives : Professors O'Connor, Disch, and Phelan, Dr. Cooke 

Chair Karam convened the meeting at 9:35 a.m. The first item on the agenda was Consideration of 
the Minutes of the previous meeting of the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the October 8, 1997 meeting of the Board. 

The next item on the agenda was the Chair's Report . Chair Karam commented on the excellent 
presentations made over the last two days. 

The next item on the agenda was the President's Report . President Bulger reported on the signing of 
the legislation that approved the merger between the Medical Center's clinical system and Memorial 
Health Care Inc. He also mentioned the "Benchmarks" project led by Professor Craig Moore. He then 
highlighted some of the items that will be presented to the Board and made special mention of the 
University-wide Alcohol Policy that will be voted on today. This policy will authorize each Chancellor to 
institute campus procedures including a program of education for members of the campus community 
related to the dangers of alcohol. 

Chair Karam then introduced the Consent Agenda and reminded the Board that any member may 
ask to discuss and/or question any item on the consent agenda as provided in the By-Laws. It was 
moved, seconded and 

VOTED : To approve the following votes listed as items # a-d on the Board Consent Agenda: 

a. Clinical Management Board Minutes, September 19, 1997 (Doc. T97-119) 

1. Clinical Management Board Minutes, June 19 r 1997 

To approve the minutes of the June 19, 1997 Clinical Management Board meeting as 
recorded. 



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December 3, 1997 



t 2. Report of the Finance Committee 



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To approve the Report of the Finance Committee including the Clinical System 
Financial Report for May and July and the Audited Combined Financial Statements 
for the years ended June 30, 1997 and 1996. 

3. Approval of the Acquisition of Hardware 

To approve the acquisition of the required hardware, software, migration, training, 
and support to implement an enterprise-wide office automation and electronic mail 
system for the Clinical System at a cost not to exceed eleven million dollars 
($11,000,000.00) 

4. Credentialling Report 

To approve the Credentialling Report as recommended by the Medical Staff 
Credentials Committee, and the Hospital Executive Committee at their June, 1997 
meetings and as presented by Gerald Steinberg, M.D. to the Clinical Management 
Board. 

b. Committee on Academic and Student Affairs - November 18 f 1997 

1. Academic Personnel Policy. UMASS Worcester (Doc. T95-022) 

To approve the revisions to the Academic Personnel Policy at the University of 
Massachusetts Worcester, listed in Doc. T95-022, as amended. 

c. Committee on Administration and Finance - Novemb er 18. 1997 

1. Accounts Receivable Policy (Doc. T97-118) 

To approve the Accounts Receivable Policy contained in Trustee Doc. T97-118. 

2. Diplomas. Boston State College Graduates (Doc. T97-113) 

To authorize the issuance of University of Massachusetts Boston diplomas to 
graduates of Boston State College; and, further, to approve a printing and handling 
, fee of $25 per diploma. 

d. Audit Committee - November 18. 1997 
• University Audit Reports 

1. FY 1997 University Financial Statements (Doc. T97-102) 

2. FY 1997 Clinical Services Division Financial Statements, UMASS Worcester (Doc. 
T97-117) 

3. University Auditor's Office Status Report as of 10/31/97 (Doc. T97-115) 

Chair Karam turned to Trustee Bissonnette for the report of the Committee on Academic and 
Student Affairs . Trustee Bissonnette first reported on the A ppointment of Donaldo P. Macedo as 
Distinguished Professor. UMAS S Boston . 



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Board of Trustees 
December 3, 1997 



It was moved, seconded and 

VOTED : To concur with the President in the appointment of Donaldo P. Macedo as Distinguished 
Professor of Liberal Arts and Education at the University of Massachusetts Boston. 

The next item was M.A. in the Economic and Social Development of Regions, UMASS Lowell. It 
was moved, seconded and 

VOTED : To approve the final application for an M.A. in the Economic and Social Development of 
Regions at the University of Massachusetts Lowell, as contained in Doc. T97-105. 

The next item was B.A. in Linguistics. UMASS Amherst. It was moved, seconded and 

VOTED : To approve the final application for a B.A. in Linguistics at the University of 
Massachusetts Amherst, as contained in Doc. T97-106. 

The next item was System-Wide Transfer Policy. It was moved, seconded and 

VOTED : To approve the Policy on Undergraduate Student Transfer and Visitor Interchange, as set 
forth in Doc. T97-107, and to authorize and direct the President to issue guidelines 
implementing the Policy. 

The next item was Uniform Application . Chair Karam commented on the need for a one page 
system-wide application in the near future. It was moved, seconded and 

VOTED : To authorize and direct the President to establish an undergraduate uniform paper and 
electronic admissions application to be implemented for students applying for the Fall 
1999 semester. 

The next item was System-Wide Alcohol Policy . Trustee Dubilo, Chair of the Alcohol Policy 
reported on their meeting held on November 18. The Committee recommended the President issue 
guidelines to implement the University-wide Alcohol Policy. It was moved, seconded and 

VOTED : To approve the University of Massachusetts Policy on Alcohol, as set forth in Doc. T97- 

112, and to authorize and direct the President, in consultation with the Chancellors, to 

issue guidelines to implement the Policy. To the extent that any provisions in the campus 

alcoholic beverages policies (Doc. T93-116 and T93-016) are inconsistent with this policy, 

, such inconsistent provisions are repealed. 

Trustee Bissonnette then reported on the joint meeting of the Committees on Academic and Student 
Affairs and Administration and Finance. The Committees had met to approve the Performance 
Measurement System Framework . It was reported that there will be another joint meeting in March to 
discuss the Annual Indicators Report for the Performance Measurement System. Chair Karam 
commented that the Framework is a major piece of work and commended Vice President Botman for her 
efforts. 

It was moved, seconded and 

VOTED : To adopt the University of Massachusetts Performance Measurement System policy, as 
set forth in Doc. T97-111. The President shall issue guidelines to implement this policy 
and he shall recommend the annual target performance indicators to the Board of 
Trustees for approval. 



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Board of Trustees 
December 3, 1997 

Trustee Fey gave the report for the Committee on Administration and Finance. She first mentioned 
| the first ever Report on Capital Spending Activities for FY97 which is the beginning of another phase of 

reporting on the University's priorities in regard to fiscal activities. There was also a discussion on the 
President's Reserve. 

The first item for action was Fiscal Year 1997 University Financial Report . It was moved, seconded 
and 

VOTED : To accept the FY 1997 University Financial Report, as contained in Doc. T97-102. 

The next two items were Leases with UMASS Health System Realty and Capital Loan, UMASS 
Worcester . Vice President Lenhardt gave a brief explanation on the details of each of these actions. Chair 
Karam commented that the additional information provided to the Board proved helpful explaining the 
many issues involved with the pending capital purchases. 

It was moved, seconded and 

VOTED : To authorize and direct the President (who may subdelegate certain actions to the 
Chancellor), subject to approval by the Secretary of Administration and Finance, to take 
any actions necessary including filing statements required under Section 36C of Chapter 
75 of the General Laws and entering into leases with UMASS Health System Realty I 
Corporation to permit the Worcester campus to operate laboratories and various related 
health care programs and facilities at l)Biotech I, 2) Auburn, and 3)the Worcester 
Foundation as such operations and programs are in the best interests of the University 
and further the educational, research and clinical missions of the Worcester campus. 

And further 

VOTED : To authorize the President who may subdelegate to the Chancellor, the authority to 
spend monies from time to time for certain capital purchases, primarily to replace 
obsolete equipment, purchase new equipment (including information systems) and to 
fund renovations to a deteriorating physical plan (including the replacement of the 
cardiac cartherization laboratory, upgrades in radiographic equipment and other 
equipment relating to the operations of the tertiary campus) and to pay for such costs 
from the cash accounts of the Hospital Trust Fund; 

Provided further, 

To authorize the President who may subdelegate to the Chancellor, the authority to enter 
into arrangements for tax-exempt financing issued through one or more qualified issuers 
in the Commonwealth of Massachusetts (such financing may include, without limitation, 
financing obtained through the Series J Pool or other appropriate vehicles of the 
Massachusetts Health and Educational Facilities Authority) in an amount not to exceed 
$45,000,000 for the purpose of meeting the capital and cash needs of the Clinical Division 
of the Medical Center as described in Doc. T97-121 (including the reimbursement to the 
Medical Center for amounts expended on the equipment and other capital projects 
described in this vote) and/or refund outstanding indebtedness of the Medical Center; 
and 



Provided further, 



That these resolutions shall constitute "official intent" pursuant to the provisions of 
Section 1.150-2 of the United States Department of Treasury Regulations. 



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December 3, 1997 

Trustee Giblin reported on the Administrative Redesign Committee. He first reported on the 

| Steering Committee chaired by Chancellor Scott. He then discussed the five "measures" and expects 

benchmarks will be available by the April meeting. He also reported that there will be a single vendor for 

University software. The Administrative Technology Committee overseen by Chancellor Hogan will 

continue. He then mentioned the Labor Summit set for February, 1998 led by Trustee Haynes. 

Chair Karam reported that the Administrative Redesign initiatives will provide better management 
through the University including better student services. 

Trustee Naughton gave a report of the Audit Committee and reported on the items voted under the 
Consent Agenda and noted that the Audit Staff is doing a commendable job. 

Chair Karam asked Trustee Naughton to report on the Committee of the Whole . Trustee Naughton 
thanked the Chancellors and Vice President Botman and their staff for providing an informative report on 
the progress of Academic Restructuring. 

Trustee Mahoney, Vice Chair, reported on the Development Committee. He first reported on the 
establishment of a working group chaired by Ronald Suduiko which will begin planning for next year's 
fundraising event/dinner. This would be held in conjunction with a major event during the day that will 
attract attention to the University that could be a launching pad for the evening's event. The working 
group will consist of a cross section of development officers, Trustees, members of the President's Office, 
the Foundation Directors and Chancellors. 

Trustee Mahoney also reported that Mr. Suduiko presented an overview of where the fundraising 
focus will be including three goals: corporate targets, planned giving and alumni cultivation. There were 
also reports from each of the campuses regarding fundraising efforts. Each campus is at different stages 

^ in achieving this year's goals; Trustee Mahoney then reported the status of each of the campus' goals from 

▼ last year, this year's goal and what they have raised so far. 

Chair Karam then asked Trustee Lewenberg for an update on Building Authority issues. Trustee 
Lewenberg reported that the Authority is studying ways to provide services to the campuses through the 
capital program. He commended Joseph Brady for his work in planning for the future. Chair Karam 
thanked Trustee Lewenberg and Mr. Brady for their dedication to these issues. 

Under Other Business. Chair Karam reported the Amendment to the By-Laws reflected the address 
change of the President's Office. It was moved, seconded and 

VOTED : To approve the following amendment to the By-Laws of the Board of Trustees of the 
University of Massachusetts: 

Preamble amended as follows: 

By replacing "18 Tremont Street" with "1 Beacon Street". 

Dr. Russo then reported on the Worcester City Corporation d/b/a UMASS Health System . Last 
week the Trustees had received a supplemental mailing that included the annual report of the Worcester 
City Campus Corporation. The by-laws state the corporation as sole members shall meet on an annual 
basis, review the annual report and vote to reaffirm the officers of the Corporation. The Corporation has 
continued to grow as consistent with the strategic plan of the clinical system. Full accreditation was 
received from the Commission on Accreditation Health Care Organizations and the nursing home 
received a complete bill of health from the Department of Public Health. He thanked staff members for 
their work. 



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General Counsel Kirby reported that upon the closing of the merger the large majority of these 
corporations will be moving with the independent entity and the membership of this Board will change. 
Chair Karam commented that the new Board would include members of the UMASS Trustees. It was 
moved, seconded and 

VOTED : To elect the following individuals to the Board of the Worcester City Corporation d/b/a 
UMASS Health System; those so designated shall be officers of the Corporation and the 
Board of Directors shall consist of at least six members: 

Arthur R. Russo, M.D. President 

Stephen W. Lenhardt Treasurer 

Thomas D. Manning Clerk 

Michael Greene 
Andrew C. Knowles 
Aaron Lazare, M. D. 
Marilyn Plue 
Richard Stanton 

Dr. Russo then reported on the Affiliation with Central New England HealthAlliance. An updated 
report was distributed outlining the changes to the corporate names. Today the Board is being asked to 
authorize the President to sign the memorandum of understanding with Health Alliance that outlines the 
terms under which UMass Health System is willing to acquire Health Alliance to execute the definitive 
agreement and perpetuate the closing subject to certain conditions as will be discussed. If the merger 
between the Clinical Division of the University and Memorial Health Care does not occur by the time a 
loan guarantee must be put into place, then the President is authorized to make that guarantee on behalf 
of the University. All financial obligations and liabilities of the University regarding this financing will be 
assigned to us soon by UMass Memorial at the time of the closing of the merger or if the merger were not 
to close the University would continue to assume the debt. 

Dr. Russo then provided some background information on Health Alliance and reported that there is 
tremendous public support from Northern Worcester County for this, as all the elected officials have 
publicly endorsed a relationship between Health Alliance and UMASS. Acquiring Health Alliance will 
assist the UMASS Clinical System and UMass Memorial in achieving one of the key goals in terms of the 
strategic plan that has been outlined over the last four years to build a regional integrated delivery system 
to support the Medical School. The Clinical System will likely increase its market share of revenues that it 
generates from the service area with greater presence there. 

Dr. Russo reported that Health Alliance would become a subsidiary of the system and would be part 
of the new merged UMass Memorial entity. It will appoint two thirds of the Trustees on the Health 
Alliance Board and we will have significant reserve powers. The UMass Health System in return will 
provide a $15 million dollar fund balance transfer to Health Alliance for purposes that will be specified in 
the definitive agreement which includes retirement of some debt and initial implementation of a strategic 
plan and will also provide $1.2 Million dollars over four years for resources in outcome management. 
The clinical system will provide a guarantee on the $20 million dollar loan financing for Phase I of its 
Master plan facility which includes a rehab of the Burbank campus and redevelopment of the Leominister 
campus. We will jointly contract the managed care efforts. 

There was then a discussion by the members of the Board about the many issues facing this 
transaction. It was suggested that the discussion continue in Executive Session. 

The next item was Clinical Manageme nt Board/UMass Memorial Board Appointments . General 
Counsel Kirby provided some background for this action. It was moved, seconded and 



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Board of Trustees 
December 3, 1997 

VOTED : WHEREAS, the University has been engaged in a process to divest itself of the clinical 
operations of the Worcester campus so that these operations can enter into a merger with 
Memorial Health Care, Inc.; and 

WHEREAS, legislation authorizing the merger has been enacted; and 

WHEREAS, the Chancellor, President and Trustees would find it useful and in the best 
interests of the University to have a group of individuals involved in the oversight of the 
clinical operations who can assist in the transition to the new merged entity and will be 
involved as members of the board of the newly merged entity. 

NOW THEREFORE BE IT RESOLVED, to adopt the attached Article IV of the By-Laws of 
the Clinical Operations of the University of Massachusetts Worcester which substantially 
amend and supersede Article IV of the former By-Laws of the Clinical Operations of the 
University of Massachusetts Medical Center (Doc. T94-099 as amended); 

PROVIDED FURTHER, to name the following individuals to serve as the Clinical 
Management Board until such time as the merger with Memorial Health Care is 
effectuated, at which time the Clinical Management Board shall cease its function as the 
Clinical Management Board and its members, with the exception of the Secretary of 
Health and Human Services or his/her designee, shall assume their new role as the 
University's appointments to the new board of trustees of UMASS Memorial Health 
Care, Inc.: 

Aaron Lazare, M.D. 

Arthur R. Russo, M.D. 

Richard J. Stanton 

Michael T. Foley, M.D. 

Robert S. Karam 

Peter K. Lewenberg 

Stephen W. Lenhardt 

William Kelleher 

Kerri E. Osterhaus 

Sarah Garfield-Berry 

Commonwealth of Massachusetts Secretary of Health and Human Services or his/her 

designee 

PROVIDED FURTHER, to express the Board's deep gratitude to the previous members of 
the Clinical Management Board for their important service to the University and 
especially the Worcester campus over the past years. 

Chair Karam requested that the Chancellor and/or the President prepare appropriate letters of 
thanks and appreciation to the former members of the Clinical Management Board for their work. 

Trustee Berlandi then requested that we vote the Memorandum of Understanding before entering 
Executive Session. The vote will authorize the completion of the definitive agreement under the general 
terms that have been outlined and will be brought back to the Board for approval. 

It was then moved, seconded and 

VOTED : WHEREAS, the Worcester campus and Worcester City Campus Corporation have been 
engaged in negotiations with Central New England HealthAlliance in order to effectuate 
a mutually beneficial relationship between the parties; and 



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Board of Trustees 
December 3, 1997 



I 



WHEREAS, in this competitive health care marketplace time is of the essence is 
completing this transaction; and 

WHEREAS, in furtherance of this transaction, Central New England HealthAlliance will 
require assistance in the financing of certain beneficial objectives; and 

WHEREAS, the parties have negotiated a memorandum of understanding expressing the 
intent of the parties with respect to this relationship. 

NOW THEREFORE BE IT RESOLVED, to authorize the President, who may subdelegate 
to the Chancellor, to enter into the attached memorandum of understanding with Central 
New England HealthAlliance, Inc. and Worcester City Campus Corporation, entitled 
"Agreement," in substantially the form presented to this Board with such changes as may 
be approved as necessary or desirable in the judgment of the President to further the best 
interests of the University, such approval to be established by the execution of said 
memorandum of understanding by the President or Chancellor; and that the President, 
or by his delegation, the Chancellor, be and each hereby is authorized to execute this 
memorandum of understanding. 

PROVIDED FURTHER, to authorize the President, who may subdelegate to the 
Chancellor to negotiate and present to this Board for its approval a definitive agreement 
that is consistent with this memorandum of understanding (the "HealthAlliance 
Definitive Agreement") or to execute such a HealthAlliance Definitive Agreement subject 
to the approval of this Board, in either case subject to satisfactory due diligence and other 
conditions as well be set forth in the HealthAlliance Definitive Agreement. 

PROVIDED FURTHER, that if and only if the proposed merger between the clinical 
operations of the University and Memorial Health Care, Inc. does not occur or if the 
President has otherwise determined that all financial obligations and liabilities of the 
University pursuant to the HealthAlliance Definitive Agreement, including but not 
limited to the documents relating to the financial arrangements described in this vote, 
will be assigned to and assumed by UMass Memorial Health Care, Inc. upon the closing 
of the merger between the University's clinical operations and Memorial Health Care, 
Inc. pursuant to the definitive agreement between and among the University, Memorial 
Health Care, Inc. and Worcester City Campus Corporation approved by this Board on 
February 12, 1997 and signed on February 13, 1997 (the "Memorial Merger"), and that the 
University will not have any further financial obligations or liabilities in connection with 
the HealthAlliance Definitive Agreement upon and following the Memorial Merger, the 
President who may subdelegate to the Chancellor, is authorized to include in the 
HealthAlliance Definitive Agreement (a) that the University will agree to guarantee up to 
twenty million ($20,000,000.00) dollars using the credit of the Teaching Hospital Trust 
Fund, such amounts to be used to finance the construction of Central New England 
HealthAlliance facilities described as Phase I in the Memorandum of Understanding, and 
(b) that the University will provide such additional financing as may be determined 
necessary for Phase II of such project subject to the University's determination of 
financial, operational and programmatic feasibility for Phase II financing and subject to 
the other conditions set forth in the attached Memorandum of Understanding and the 
HealthAlliance Definitive Agreement, the form and structure of any such financing to be 
at the discretion of the University. 

PROVIDED FURTHER, that such a financing or other guarantee will further the 
objectives of the University and promote the maintenance and operation of the Teaching 
Hospital. 



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Board of Trustees 
December 3, 1997 

PROVIDED FURTHER, to authorize the President, who may subdelegate to the 
Chancellor, to amend the Memorial Definitive Agreement to be consistent with the 
HealthAlliance Definitive Agreement and these resolutions, and to ensure that there is no 
liability or obligation for this guaranty or other financial obligations pursuant to the 
HealthAlliance Definitive Agreement remaining with the University upon the closing of 
the merger between the clinical operations of the University and Memorial Health Care, 
Inc. 

It was moved, and seconded that the Board understands that this vote will still allow questions in 
Executive Session. 

Chair Karam then asked for a motion to go into Executive Session to discuss issues relating to Real 
Estate and Honorary Degrees . He indicated that the Board would not reconvene in open session. 

Chair Karam voted for a motion as did Trustees Berlandi, Bissonnette, Dubilo, Fey, Flores, Foley, 
Giblin, Haynes, Kraft, Lewenberg, Mahoney, Naughton and Osterhaus. The time was 11:05 a.m. 





Barbara F. DeVico 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, January 28, 1997; 10:00 ajn. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair McNeil; Vice Chair Poduska; Trustees Bissonnette, 
Carter, Karam and Kraft 

Committee Members Absent : Trustees Andriolo, Arciero, Giblin and Sweeney 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice 
President Botman; Associate Vice President Layton; Provosts Crosson, Esposito, Taggie and 
Wagner; Ms. Scheid, Vice Chancellor for Academic Affairs; Vice Chancellor Robinson; 
Professor Rudnick 

Faculty Representatives : Professor Phelan, UMASS Lowell 

Chair McNeil convened the meeting at 10:05 a.m. and turned to President Bulger for his 
comments. 

President Bulger first reported on the University Scholars Program which will provide 
$8,000 annually to the top two graduating seniors at each of the 400 high schools across the 
state should they choose to attend the University. The hope is that this program will 
encourage some of the state's most talented and dedicated students to attend the University of 
Massachusetts. It was expected that at the next meeting of this Committee the number of 
students who have accepted the award would be available. 

President Bulger also reported on the Faculty High School Visitation Program which is 
consistent with the commitment to secondary education by the Commonwealth and the 
University's own commitment to teaching, research and service. Many members of the faculty 
have volunteered to spend their time with high school students and teachers as guest lecturers 
in a variety of fields of study. He also mentioned that alumni have been in touch offering to 
work with the academic affairs staff to enhance the University's admissions program with 
plans to host breakfasts for prospective students and their parents. 

President Bulger then showed the Committee a cover of a new brochure "Undergraduate 
Experience" with information about four of the campuses. He reported that his office is 
collecting data on enrollment and admissions and assessing new goals for the campuses. He also 
reported that the University and the Board of Higher Education are moving towards a renewed 
partnership in the interest of improving higher education in Massachusetts. 

Vice President Botman voiced her support for the collaborative efforts underway with the 
Board of Higher Education and its Chairman, Mr. James Carlin. She reported that the 
President has requested that the BHE send all requests for data through the President's Office. 
She also spoke about the Academic Program Review Policy through which the University is 
already meeting the goals of the Board of Higher Education's academic program productivity 
policy. The campuses are reviewing their academic degree programs, improving those 



Committee on Academic and Student Affairs 
January 28, 1997 



programs by setting priorities for investment and disinvestment. The process is resulting in 
program changes, mergers, consolidations and closures. Since 1990, 40 undergraduate programs 
and 18 master's and doctoral programs have been discontinued or had their admissions 
suspended. 

Vice President Botman also reported on a new faculty exchange program where faculty 
would voluntarily move from one campus to another in an effort to promote faculty development 
and renewal. The Academic Affairs department is currently developing guidelines for this 
program, which will be initiated in Fall, 1997. The office is also looking at ways to initiate 
periodic reviews of programs, departments and colleges across the University system and will 
continue to work with the Provosts and Deans in these areas. 

Chair McNeil then commended President Bulger and Vice President Botman for their 
efforts promoting the University as an institution of quality and praised the University 
Scholars program which has flexible criteria for students with demonstrated competence. 

The first item on the agenda was approval of a B.A. in American Studies, University of 
Massachusetts Boston . Chair McNeil endorsed the program stating the high quality and focus 
on diversity and multi culturalism. Vice President Botman and Provost Esposito voiced their 
strong recommendation for the program and introduced Professor Lois Rudnick, Director of the 
program. 

Professor Rudnick reported on her work developing this program over the past 20 years and 
the benefits this program will bring to students wishing to focus on the culture of this country, 
particularly the study of minorities and women shaping this nation's history. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the Stage I and II consolidated proposal for a B.A. in American 
Studies at the University of Massachusetts Boston, as contained in Doc. T97- 
015. 

The next item was a Presentation on Enrollment Planning and Goals for Fall, 1997 . 
Associate Vice President Layton reported that the President's Office has collected information 
about campus goals for freshman and transfer admissions, as well as freshman retention. She 
then summarized campus goals for Fall, 1997 with respect to the size of the freshman class, the 
diversity of the freshman class, the average SAT scores of the freshman class, and freshman 
retention rates. She reported that as part of the Administrative Redesign efforts, the campuses 
will be focusing on ways to improve retention rates. 

There was then a lengthy discussion about the need to develop a context by which to 
measure and evaluate the information presented concerning enrollment management. Chair 
Karam spoke about the University developing policies that will help define the goals the 
University is hoping to reach and the best way to accomplish them. 

Provost Crosson commented that the general purpose of enrollment management is to study 
the composition of the student body overall that will reflect what is expected of an institution 
and that we prepare students well for their lives after graduation. 



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Committee on Academic and Student Affairs 
January 28, 1997 



The Provosts and Vice Chancellor Robinson from the Amherst campus then discussed the 
importance of measuring admission goals and the role enrollment management will have on the 
campuses in the future. 

Chair McNeil then summarized the Committee's request for a context for Board members to 
be able to evaluate the information presented, the rationale for each of the goals and sets of 
values. At the same time, she requested a basis for the collection of information or data, and 
the outcome of the information collected. The Board would also like to know what are the 
long-term goals of the campuses based on the University's and campuses strategic plans and 
mission. 

The next item on the agenda was the A ppointments with Tenure. UMASS Amherst UMASS 
Worcester and Awards of Tenure. UMASS Amherst . Chair McNeil stated the Committee 
would vote to enter into Executive Session for these two agenda items and further stated that 
the Committee would not reconvene in open session at the conclusion of these actions. 

Trustees Poduska, Bissonnette, Karam, and Kraft voted for the motion as did Chair 
McNeil. The time was 11:45 a.m. 

It was moved, seconded and 

VOlfcU : To enter into Executive Session for the purpose of considering Appointments 
with Tenure, UMASS Amherst, UMASS Worcester and Awards of Tenure, 
UMASS Amherst. 

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Barbara F. DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, March 25, 1997; 10:00 a.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair McNeil (arrived late); Vice Chair Poduska; Trustees 
Andriolo, Arciero, Carter, Karam 

Committee Members Absent : Trustees Bissonnette, Giblin, Kraft and Sweeney 

Other Trustees : Trustee Croft 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice 
President Botman; Associate Vice President Layton; Chancellor Scott; Provosts Crosson, 
Esposito, Taggie and Wagner; Vice Chancellors Robinson and Scheid 

Faculty Representatives : Professors May and Phelan 

UMASS Amherst : Ms. Nolan, Director, Undergraduate Honors Program; Ms. Hardin, Graduate 
School of Nursing 

UMASS Boston : Ms. McAlpine, Director of Undergraduate Honors Program 

UMASS Worcester Ms. Goodman, Dean, School of Nursing 

Vice Chair Poduska convened the meeting at 10:15 a.m. while awaiting the arrival of 
Chair McNeil. President Bulger gave an update of his activities over the last month. He first 
reported on President Clinton's visit to the Boston campus last month delivering a major speech 
on the reduction of crime in Boston and commended the Boston campus for the highest level of 
professionalism during this event. He spoke of his recent trip to Ireland with Governor Weld 
visiting several colleges and was pleased to report progress of the international student 
exchange program between students at Amherst and Derry. 

President Bulger continued his report informing the Committee of his keynote address in 
Chicago at the National Association on Student Personnel Administrators Convention on the 
value of a liberal education during which he also offered suggestions on how academic 
administrators could work productively with elected officials. Following his remarks on this 
subject, Vice Chair Poduska asked that the President schedule a forum to speak further on this 
subject to the Trustees. 

President Bulger also reported that U.S. News and Report ranked the Creative Writing 
Graduate Program at UMASS Amherst number 10 in the country and the Amherst campus 
College of Engineering, 44th in the country. The Medical School was ranked the 4th best 
primary care medical school in the country. It was also ranked #6 in faculty resources. He then 
recognized Robert Macintosh, distinguished professor of electrical and computer engineering on 
the Amherst campus who has been elected to the National Academy of Engineering. He also 



Committee on Academic and Student Affairs 
March 25, 1997 



reported that a new book, The Rise of American Research Universities, rated Amherst #18 
among public universities in the research productivity of its faculty. 

Vice President Botman updated the Committee with a few recent developments: in 
February the Board of Higher Education voted to accept the University's Academic Program 
Review and its results as confirmation that the University is meeting the goals of the BHE's 
Academic Program Productivity Policy. At that same meeting the BHE re-affirmed the 
missions of the higher education system by refusing to allow state colleges to offer doctoral 
degrees, a position the University supports. 

Vice President Botman also informed the Committee that since its last meeting the BHE 
had approved two University academic programs, the B.S. in Earth Systems at UMASS 
Amherst and the B.A. in American Studies at UMASS Boston. Currently the President's Office 
is reviewing Stage II proposals for a Ph.D. in Language, Writing and Culture at UMASS Boston 
and an M.S. in Mechanical Engineering at UMASS Dartmouth. 

She then informed the Committee of some of the projects in which the Academic Affairs 
department is currently engaged: the staff are in close collaboration with community college 
representatives and campus staff in efforts to implement the Joint Admissions Agreement, 
developing appropriate systems for enrolling, tracking, and sharing information about students 
across the sectors; the development of a series of grant proposals to fund system-wide 
conversations, sharing of expertise, and faculty development opportunities related to the 
reform of general education programs on all of the four undergraduate programs. A system-wide 
Task Force on Remedial Education is close to concluding its review of the nature and scope of 
remedial programs at the campuses and will be sending recommendations to the Academic 
Advisory Counsel and then the President. 

The Academic Affairs office is also working with Fiscal Affairs and Management 
reviewing campus proposals for revised sets of peer institutions for the purposes of comparisons 
on both academic and financial indicators. They are planning a system-wide conference and 
award program to highlight the research and accomplishments of graduate students. There is 
also discussion with the Board of Higher Education about a number of policy issues, including a 
proposal to levy a tuition surcharge on students who exceed a certain amount of credits beyond 
what is required by their major, and guidelines for tuition waivers. Vice President Botman then 
concluded her report by thanking the staff of the Academic Affairs department for their hard 
work on behalf of the University. 

Chair McNeil arrived and called on Trustee Carter for his observations concerning the 
recent student occupation on the Amherst campus. Trustee Carter reported that approximately 
200 students had staged a sit-in for six days in the Goodell Building. Some of the issues the 
students wanted addressed involved child care, ALANA recruitment and retention, advising 
concerns, administrative withdrawals, diversifying the staff, faculty and administration and 
increasing student involvement in the decision-making process. 

Trustee Carter continued his report stating the need to open up better lines of communication 
between students and the administration on the Amherst campus and that discussions on a 
regular basis will improve the situation. He asked the Board for their support. Chair Karam 
stated that Trustee Carter and leaders of Student Government should also communicate their 
concerns to the Board in the future and that the lines of communications have always been open 
between the members of the Board and the students. 



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Committee on Academic and Student Affairs 
March 25, 1997 



Chair McNeil reiterated the sentiments expressed by Chair Karam that part of the 
responsibility of the student Trustee and the student leadership on the campus is to 
communicate with the Chancellor and the Provost on issues and to remind students that the 
University and the Board are actively moving ahead with some of the issues presented by the 
students. Trustee Croft and Provost Crosson thanked Trustee Carter for his willingness to share 
information once the sit-in had begun. It was agreed that the students and the administrators 
were actively working and shared many of the same goals. 

Professor May, Faculty Representative from the Amherst campus, reported that the campus 
has made many improvements in the information made available to faculty and staff but that 
students were not necessarily getting it. He also noted that it is difficult to assimilate and 
distribute so much information. 

Chair McNeil then announced the first action item on the agenda, Amendment to Academic 
Personnel Policy, UMASS Worcester . Vice Chancellor Scheid reported that the Worcester 
campus is requesting this amendment due to two recent developments: the accreditation review 
of the Graduate School of Nursing next month and the Medical Center's pending merger with 
the Worcester Foundation for Experimental Biology bringing 18 scientists into the Medical 
Center's faculty. These scientists currently have multi-year contracts with the Foundation. 
There is concern that a lack of multi-year contracts in the Graduate School of Nursing would be 
viewed negatively by the accreditation panel. It was reported that in most cases the contracts 
will be for one year with certain contracts approved for a maximum of five years. These 
contracts would require approval of the Vice Chancellor for Faculty Affairs. She reminded the 
Committee that unlike other campuses most faculty at Worcester do not hold tenure. 

There was discussion involving the need to have the President approve these multi-year 
contracts. It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To amend the Academic Personnel Policy by adding three additional sentences 
under Article 10.1 which deals with terms of appointment. Specifically, we 
would add the following 10.1a (new material indicated in bold). 

10.1a For academically salaried faculty members, the effective dates of 
employment and any contingencies shall be spelled out in the University of 
Massachusetts Worcester Personnel Action/Contract signed by the Department 
Chair (if any), the Dean, the Provost or Chancellor, and by the faculty 
'member, which shall signify his/her understanding and acceptance of said 
terms and conditions. In most cases, this contract shall be for one year. 
However, in certain cases, the contract may be approved for multiple years 
with a maximum of five (5) years. Multi-year contracts require approval from 
the Vice Chancellor for Faculty Affairs utilizing criteria approved by the 
University President. (Doc. T95-022, as amended) 

The next item was the Student Legal Services Office. University of Massachusetts Boston. 
Vice Chancellor Robinson described the process leading to this recommendation. Once the 
Student Government Association had passed a resolution recommending the establishment of a 
legal services office on the Boston campus, a committee had been formed consisting of students, 
faculty and staff. A set of By-Laws governing the operation for the office were passed based on 
those currently in place on the Amherst campus. 



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Committee on Academic and Student Affairs 
March 25, 1997 



Trustee Croft offered his support for the revised resolution that included among other 
points, a sunset provision authorizing the operation of a Student Legal Services Office at the 
Boston campus until December 15, 1999, at which time the Office shall cease to operate unless 
before that time the Board of Trustees has acted affirmatively to approve the continued 
operation of the Office. He reported that the primary purpose of this office will be to provide 
advice, representation, and legal assistance to undergraduate students and will offer free or low 
cost legal services assisting students with landlord-tenant disputes, employment and domestic 
difficulties. He then thanked several members of the administration and Boston campus for 
their help with this item. 

General Counsel Kirby then explained the revisions to the original resolution. Chair 
McNeil stated this item as being an example of open lines of communication between the needs 
of the students and the administration. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS the Student Government Association, on behalf of the 
undergraduate student body has requested the Board to permit mandatory fees 
to be used to provide advice, representation, and other legal assistance to 
undergraduate students enrolled at the Boston campus, and 

WHEREAS a thorough survey of the student body identified many areas under 
the law where the student body could benefit from said services, and 

WHEREAS the Student Legal Services Office Advisory Committee, consisting 
of students, faculty, and administrators has worked inclusively to present this 
proposal, 

THEREFORE be it resolved as follows: 

STUDENT LEGAL SERVICES OFFICE 

Student activities fees properly collected by the University and designated 
through the appropriate University procedure may be used to operate an office 
to provide legal services to undergraduate students on the Boston campus. 

Said office, which shall be known as the Student Legal Services Office, may 
serve Boston students provided that on all printed material and in all oral 
communications the office shall be identified as the Student Legal Services 
Office and all printed material shall include the phrase "supported through 
student activity fees." 

The Student Legal Services Office may provide advice, representation, and 
other legal assistance to students enrolled at the Boston campus who have paid 
the student activities fees. The Office shall not provide legal assistance or 
advice to individuals who are not students, nor shall it provide representation 
or advice to students with respect to their status or duties as employees of the 
University. 



Committee on Academic and Student Affairs 
March 25, 1997 



The Directing Attorney of the Student Legal Services Office shall report 
through the regular student affairs line organization to the Vice Chancellor for 
Student Affairs, who shall consult on caseload policy issues with the Student 
Legal Services Office Advisory Committee. The Committee may include 
students, faculty, and administrators, as well as community members who are 
respected members of the Bar. The student members shall be appointed by the 
Student Government Association. The non-student members shall be appointed 
by the Vice Chancellor for Student Affairs. 

Any attorney employed full or part time at the Student Legal Services Office 
shall be a University employee subject to all policies of the University and all 
state laws governing University employees, including Chapter 268A of the 
Massachusetts General Laws. Pursuant to Chapter 268A, the "appointing 
authority" for any such attorney shall be the Vice Chancellor for Student 
Affairs. No person employed by the Office shall refer a legal matter that has 
been brought to or originated in the office to his or her private practice, to a 
relative or to a law firm, partner, or other person or entity with whom such 
employee has a business relationship, unless the matter will be handled by 
such person or entity without compensation; nor shall any such employee or any 
student who serves with or without compensation in the Office, or on a board or 
committee that has any supervisory responsibility for the Office, accept 
compensation for referring a legal matter that has been brought to or originated 
in the Office to any such person or entity. 

The Student Legal Services Office may commence litigation on behalf of 
students provided that the Office, which is supported by student fees, shall not 
engage in litigation either in court or before administrative agencies, against 
the Commonwealth or any of its agencies, subdivisions, or instrumentalities 
including the University, or any municipality, or any officer, trustee, agent, or 
employee of any of the foregoing for actions related to their official duties or 
responsibilities. 

If the Graduate Student Assembly, on behalf of the graduate student body, 
contributes proportionately (based on enrollment figures) to the Student Legal 
Services Office, services may be extended to graduate students. 

SUNSET PROVISION 

The foregoing authorization for the operation of a Student Legal Services 
Office at the Boston campus shall remain in effect until December 15, 1999, at 
which time the Office shall cease to operate unless before that time the Board 
of Trustees has acted affirmatively to approve the continued operation of the 
Office. On or before December 15, 1999 the Chancellor shall review the 
operation of the Office, which review shall include, but not be limited to, the 
number and types of matters handled, the number of students receiving 
assistance, the financial need of those students on whose behalf litigation was 
commenced, and any fee structure put in place for students on whose behalf 
litigation has been commenced. (Doc. T97-034) 

The next informational item was the Establishment of Endowed Professorship, University 
of Massachusetts Amherst . Chancellor Scott reported on the donation of $750,000 to establish a 
professorship to study Operations Management in the School of Management. The 



Committee on Academic and Student Affairs 
March 25, 1997 



Professorship established by John F. Smith, is being created as a memorial in honor of his 
father. Vice Chair Poduska asked for a better understanding of what an endowed professorship 
actually does and how much it sponsors a particular program. Chair McNeil reported that the 
Development Officers are currently working on a set of guidelines that will define and 
distinguish professorships and endowed chairs. 

The next item was Collaborative Academic Initiatives . Professor Hardin and Dean 
Goodman from the Amherst and Worcester campuses reported on the status of the joint doctoral 
program in nursing. 

Ms. Nolan and Ms. McAlpine, Directors of the Honors Program at the Amherst and Boston 
campuses reported on their ongoing collaborative efforts to the Committee. 

The next item on the agenda was the Appointment with Tenure, University of 
Massachu setts Amherst and Boston and Awards of Tenure, University of Mas sachusetts 
Amherst and Boston . Chair McNeil stated the Committee would vote to enter into Executive 
Session for these three agenda items and further stated that the Committee would not 
reconvene in open session at the conclusion of these actions. 

Trustees Andriolo, Karam, and Poduska voted for the motion as did Chair McNeil. The 
time was 12:00 noon. 

It was moved, seconded and 

VOTED : To enter into Executive Session for the purpose of considering Appointments 
with Tenure, University of Massachusetts Amherst and Boston and Awards of 
Tenure, University of Massachusetts Amherst and Boston. 



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Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Wednesday, May 28, 1997; 10:00 a.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair McNeil; Trustees Andriolo, Arciero, Bissonnette, 
Giblin, and Karam 

Committee Members Absent : Trustees Carter, Kraft and Sweeney 

Other Trustees : Trustee Croft 

University Administration : President Bulger; Vice President Botman; Associate Vice President 
Layton; Mr. O'Riordan, Institutional Research Associate; Provosts Crosson, Esposito, Taggie 
and Wagner; Vice Chancellors Robinsons, Mulvey and Scheid; Mr. Bench, Associate Counsel; 
Mr. Applebee, Student Affairs, Mr. Burke Enrollment Management 

Faculty Representatives : Professors Disch and Phelan 

Student Trustees-Elect : Mr. Murray and Mr. Tremblay 

Chair McNeil convened the meeting at 10:10 a.m. and reviewed the agenda. She then 
called on President Bulger for his comments. 

President Bulger reported that a substantial number of students have accepted the 
University Scholarship Program which is offered to first and second ranked students in high 
schools across the Commonwealth. An awards ceremony and reception has been scheduled at 
the State House for June 16. 

Earlier this month there was an important system-wide forum which took place on the 
Boston campus with administrators and members of the faculty who met to discuss the current 
state of general education on the campuses. It provided an informal venue for the exchange of 
ideas and plans. Another forum is being planned for the Fall. 

President Bulger reported that he has appointed Vice President Botman and Vice President 
Chmura as co-chairs of a system-wide task force to study the growing market of corporate and 
training education in Massachusetts to find ways for the University to respond to the market. 
The Task Force will be working with the Pappas Consulting Group and Peat Marwick to 
increase the number of students the University serves around the state and expand the range 
with Massachusetts corporations. 

He also reported that the Vice Presidents for Academic Affairs and Management and 
Fiscal Affairs and their staffs are developing a performance measurement system using policies 
already in place and policies being implemented by the Board of Higher Education. This group 
is also working with campuses to establish a new list of peer institutions, to be ready for the 
Board meeting in August. He mentioned the financial aid policy focusing on the importance of 



Committee on Academic and Student Affairs 
May 28, 1997 



access, affordability and quality. The University must define these goals and encourage 
private giving which will aid our financial aid goals. 

Chair McNeil then called on Trustee Andriolo to introduce the student-trustee elect from 
the Lowell campus, Mr. Keith Tremblay. Trustee Croft then introduced Mr. Michael Murray, 
student trustee-elect from Boston. Chair McNeil and President Bulger thanked Trustees 
Andriolo, Arciero and Croft for their contributions to the University. 

Chair McNeil then announced the first three action items on the agenda, Revisions to the 
Codes of Student Conduct, UMASS Amherst, UMASS Boston and UMASS Dartmouth . Vice 
Chancellor Robinson from Amherst, Vice Chancellor Robinson and Mr. Applebee from Boston 
and Vice Chancellor Mulvey from Dartmouth then briefly described the revisions to the codes. 
The majority of the revisions were being implemented to make the policies more readable. 

Trustee Croft commended the administrators for their diligence working with students and 
the faculty council on this issue. It was moved, seconded and 

VOTED : To recommend that the Board take the following actions on the Board Consent 
Agenda: 

To approve the revisions to the Code of Student Conduct for the Amherst 
campus, as contained in Doc. T94-059, as amended, effective as of July 1, 1997. 

And further, 



VOTED: 



To recommend that the Board take the following actions on the Board Consent 
Agenda: 

To approve the revisions to the Code of Student Conduct for the Boston campus, 
as contained in Doc. T94-059, as amended, effective as of July 1, 1997. 



And, 

VOTED : To recommend that the Board take the following actions on the Board Consent 
Agenda: 

To approve the revisions to the Code of Student Conduct and the revisions to 
the Student Judicial Code (now renamed Student Judiciary - Policies and 
Procedures) for the Dartmouth campus, as contained in Doc. T94-059, as 
amended, effective as of July 1, 1997. 

The next item was the Revisions to the Graduate School of Nursing Governance Document, 
UMASS Worcester . Vice Chancellor Scheid reported that the majority of the revisions were 
cosmetic in nature. 

It was moved, seconded and 



VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

To approve the revisions to the Governance Document for the Graduate School 
of Nursing listed in Doc. T91-028, as amended. 



Committee on Academic and Student Affairs 
May 28, 1997 



*> 



#> 



The next item was the Appointment of Craig Moore as University Professor of Political 
Economy . Vice President Botman reported that Professor Moore will oversee the development 
and implementation of the Massachusetts Benchmarks Initiative to track, monitor and analyze 
the Massachusetts economy. It was pointed out that Professor Moore will return to the Amherst 
campus once his appointment to this position expires. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To concur with the President in the appointment of Craig Moore as University 
Professor of Political Economy, the appointment to terminate when Dr. Moore's 
reassignment to the President's Office ceases. 

Chair McNeil announced that Awards of Tenure would be discussed in Executive Session at 
the end of the agenda. 

The next item for information was a Presentation on Financial Aid . Before introducing the 
report, Vice President Botman thanked Steve O'Riordan, Daphne Layton and the campus 
Financial Aid Directors for their work on this project. She highlighted some of the issues 
associated with financial aid such as allowing the campuses to enroll, retain and graduate 
students. 

Vice President Botman introduced Mr. Steve O'Riordan who thanked the Financial Aid 
Directors, Burt Batty, Ernestine Whiting, Gerald Coutinho, Judy Keyes and Judy Case for the 
work involved assembling the report. 

Mr. O'Riordan then made a presentation on financial aid including: 

•in FY1997 UMASS students will receive approximately $207.5 Million in need-based and 
other financial assistance which is an increase of over $131 million since FY1990; 

•state need-based financial aid has increased from $14.4 million to $18.3 million between 
FY1990 and FY1997; 

•institutional need-based financial aid increased from $2.0 million in FY1990 to $17.6 
million in FY 1997 (+775% increase); 

•in FY1997 the University anticipates its students will receive nearly $207.5 million in 
need-based other financial assistance; 

•the University will administer an estimated $142.7 million in need-based financial aid in 
FY1997; 74% of need-based aid comes from federal programs, 13% from state programs, 
13% from institutional programs and less than one percent from other sources; 

•the percentage of need-based aid received in the form of loans has risen dramatically 
since FY 1990 from 36% to 57%. 

Mr. O'Riordan reported on some of the findings of the recipients of financial aid: 



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Committee on Academic and Student Affairs 
May 28, 1997 



•almost 63% of undergraduates enrolled in the University in FY1997 demonstrated 
financial need, of those, 90.8% receive aid; 

•22,772 students are projected to receive financial aid in FY 1997 system-wide; 

•for undergraduates the average financial need ranges from $7,200 at UMASS Dartmouth, 
$9,528 at UMASS Boston; 

•unmet need ranges from 42% at UMASS Boston to 6% at Lowell; 

•the University is able to meet from 58% at UMASS Boston to 94% at UMASS Lowell of 
undergraduate students' needs; 

•undergraduates who graduate with debt incur between $5000 and $14,999 of debt. 

A discussion followed the presentation about whether the University should set a standard 
on the campuses for levels of unmet need in light of the fact that access is a high priority for 
this University. Chair Karam also inquired about this issue being dealt with strictly on the 
campus level and /or should the Trustees be asked to approve a policy with specific guidelines 
for aid and unmet need. 

Chair McNeil wrapped up the discussion by noting the many issues involved with 
Financial Aid and that today's meeting was to familiarize the Board with these issues. She 
then suggested that this item come back to this Committee for further review. Vice President 
Botman responded that she will add it to the Academic Affairs' calendar. Chair Karam 
requested that the campuses come back with specific goals and show how the financial aid 
officers and their departments are involved with the administrative redesign process. 

Chair McNeil then asked that the Committee adopt the Minutes from the previous 
meeting. It was moved, seconded and 

VOTED: To approve the minutes of the March 25, 1997 meeting of the Board. 

Chair McNeil then called on Provost Esposito to give the Report of the Task Force on 
Remedial Education . A University-wide Task Force on Remedial Education appointed by the 
Academic Advisory Council has completed a report of the remedial program offerings on the 
Amherst, Boston, Dartmouth and Lowell campuses. 

Provost Esposito then gave a presentation on remedial education: 81 percent of public four 
year institutions reported offering at least one remedial course in reading, writing and 
mathematics; 22 percent of freshmen of public four year institutions take some remedial courses; 
and the combined remedial course enrollment for the UMASS system is 17.5 percent of first time 
freshmen. The vast majority of freshmen requiring remedial courses at UMASS take only one 
remedial course in their college career. The system cost for remedial education in FY1996 was 
$415,000, that is less than one tenth of one percent of the University's budget for general 
operations that year. 

Provost Esposito reported on the five recommendations from the Task Force: 

1) UMASS should continue to offer limited remedial programs to address the needs of its 
admitted students; 



-4- 



Committee on Academic and Student Affairs 
May 28, 1997 



2) The University and the Community Colleges should explore additional avenues of 
collaboration that might improve or enhance the quality and cost-effectiveness of 
remediation available to students enrolled in both sectors; 

3) All entering freshmen and transfer students should continue to be assessed by each 
campus to determine appropriate course assignments for math and writing; 

4) Campus faculty and administrators responsible for remedial programs at UMASS 
should increase their levels of communication and collaboration with each other; 

5) The University should develop better methods for assessing the outcomes of remedial 
instruction, working collaboratively with other sectors of higher education as 
necessary. 

There was a discussion by the Committee regarding the need for remedial program 
offerings. It was pointed out that the Board of Higher Education has mandated that by Fall, 
1997 no more than 10 percent of the University freshmen may be enrolled in remedial courses. 
Vice President Botman noted that the President's Office is currently in conversation with the 
BHE about this issue. 

President Bulger thanked Provost Esposito and the Task Force for their work on this project. 
Trustee Andriolo pointed out that the cap mandated by the BHE could hinder the mission of 
the University in the area of diversity. 

The next item on the agenda was the Awards of Tenure, University of Massachusetts 
Amherst and Boston . Chair McNeil stated the Committee would vote to enter into Executive 
Session for this agenda item and further stated that the Committee would not reconvene in open 
session at the conclusion of these actions. 

Trustees Andriolo, Arciero, Bissonnette, Giblin and Karam voted for the motion as did 
Chair McNeil. The time was 12:03 p.m. 

It was moved, seconded and 

VOTED : To enter into Executive Session for the purpose of considering Awards of Tenure, 
University of Massachusetts Amherst and Boston. 



basiL^-^^ 



Barbara F. DeVico 
Staff Assistant 



F 



UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, July 29, 1997; 10:00 a.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Karam; Trustees Berlandi, Bissonnette, Carpenter, 
Giblin, Kraft, Murray, Osterhaus and Tremblay 

University Administration : President Bulger; Vice President Botman; Acting General Counsel 
Haskell; Associate Vice President Layton; Chancellor Scott; Provosts Esposito, and Wagner; 
Associate Vice Chancellor Panofsky, UMASS Dartmouth; Provost-elect Bagley Marrett; Mr. 
Curry, Dean, UMASS Dartmouth 

Faculty Representatives : Professor Phelan 

Chair Karam convened the meeting at 10:05 a.m. and informed the Committee that a new 
Chair would be appointed at the August Board meeting. He then called on President Bulger for 
his comments. 

President Bulger welcomed the newest members to the Committee: Peter Berlandi, Michael 
Murray from the Boston campus, Kerri Osterhaus from Worcester, Sean Carpenter from 
Dartmouth and Keith Tremblay from the Lowell campus. He commended out-going Provosts 
Esposito and Crosson for their service and dedication to the University as they return to the 
faculty. He then introduced Cora Bagley Marrett, Provost-elect from the Amherst campus. 

President Bulger updated the Committee on several initiatives: improved student services 
and academic priorities in the 1998 budget, the enrollment management sub-committee chaired 
by Chancellor Penney and staffed by Ken Lemanski and the Pappas Group, which is working on 
a student retention conference, intercampus transfer policy and a uniform application for 
admissions. The University budget appropriation has been approved by the Legislature and 
the Governor; the Amherst campus intends to increase scholarship aid, improve undergraduate 
curriculum, support the library, create a new college of Life Sciences; Chancellor Penney will 
strengthen academic programs, expand the honors program, support general education and 
commit institutional resources to financial aid; Chancellor Cressy will invest in the Marine 
Science program, seek accreditation for the College of Business and support general education 
reform; Chancellor Hogan will increase his library acquisitions and build classrooms that are 
technology updated; Chancellor Lazare will support curriculum development at the new 
learning center and biotechnical research space. 

President Bulger also mentioned Mr. Cornell's intention to give the University $500,000 
and, in support of the September 18 fundraising event, to establish the Cornell Family Endowed 
Scholarship fund in honor of his parents. 

Vice President Botman then updated the Committee on academic matters. She first 
reported on system-wide merit scholarships. The Commonwealth Scholarship, established in 
1995, covers tuition, fees and room and board costs. The total number of new scholars in Fall, 
1997 is 30. The University Scholarship, which was launched by President Bulger in 1996, 



r 



( 



i 



Committee on Academic and Student Affairs 
July 29, 1997 

awards $8,000 to valedictorians. This Fall 87 University scholars will matriculate at the 
University: 70 at Amherst, 3 at Boston, 9 at Dartmouth and 5 at Lowell. 

Vice President Botman also reported that she and Vice President Lenhardt will be making 
a presentation to the Committee of the Whole next week dealing with two on-going initiatives: 
campus selection of new peers and development of a performance measurement system. 

Chair Karam then called on Vice President Botman to speak to the first agenda item, 
Revisions to the Procedures for University Approval of New Academic Degree Programs, 
Program Changes and Program Terminations . Vice President Botman reported that the 
revisions to the existing policy represents two major procedural revisions. The first replaces the 
Stage I and Stage II approval process with a Preliminary and Final Application. The 
Preliminary Application would entail a brief document that will be reviewed by staff in order 
that the President may advise the Chancellor as to whether to develop a full proposal. The 
Preliminary Application would not go to the Board or the BHE (Board of Higher Education). 
The final application will undergo extensive staff review and require the approval of the 
Board and the BHE. 

The second major revision is that procedures are incorporated for the approval of joint 
academic degree programs in fields in which one campus already holds degree-granting 
authority. These expedited procedures have been developed to encourage the development of 
collaborative degree programs between each campus of the University. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the revisions to the Policy and Procedures for Approval of New 
Academic Degree Programs, Program Changes, and Program Terminations, as 
contained in Doc. T92-012, as amended. 

The next item on the agenda was the M. S. in Mechanical Engineering (Stage II), University 
of Massachusetts Dartmouth. Associate Vice President Layton noted that the Stage II proposal 
submitted in 1993 was held off pending the outcomes of the Future of Engineering Study and the 
work of the Engineering Task Force. An external evaluation team was also engaged to review 
the proposal. This updated proposal responds to the recommendations of the Future of 
Engineering Study and Task Force including implementing the reallocating existing resources, 
focusing on the needs of regional industry and extending the manufacturing thrust of the 
department. 

Thomas Curry, Dean of Engineering from the Dartmouth campus, then gave a brief 
presentation highlighting the program need and resources. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the Stage II proposal for an M. S. in Mechanical Engineering at the 
University of Massachusetts Dartmouth, as contained in Doc. T91-112, 
Addendum 1. 

Chair Karam then asked that the Revisions to the Procedures for University Approval of 
New Academic Degree Programs, Program Changes and Program Terminations be voted under 
the Consent Agenda. It was moved, seconded and 



I 



t 



Committee on Academic and Student Affairs 
July 29, 1997 

VOTED : To recommend that the Board take the following action on the Board Consent 
Agenda: 

To approve the revisions to the Policy and Procedures for Approval of New 
Academic Degree Programs, Program Changes, and Program Terminations, as 
contained in Doc. T92-012, as amended. 

Chair Karam then announced that the next two items, Appointment with Tenure, 
University of Massachusetts Amherst and Awards of Tenure, University of Massachusetts 
Amherst and Dartmouth, would be held in Executive Session. He further stated that the 
Committee would not reconvene in open session at the conclusion of these actions. 

It was moved seconded and 

VOTED : To enter Executive Session for the purpose of considering Appointment with 
Tenure, University of Massachusetts Amherst, and Awards of Tenure, 
University of Massachusetts Amherst and Dartmouth. 

Trustees Berlandi, Bissonnette, Giblin, Kraft, and Osterhaus voted for the motion as did 
Chair Karam. The time was 11:30 a.m. 

r 



bas&vxJ- & Aj ^ 



Barbara F. DeVico 
Staff Assistant 



-3- 



i 



* 



UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, September 30, 1997; 10:00 a.m. 

Board Room 

University of Massachusetts 

Boston, Massachusetts 

Committee and Committee Staff : Chair Bissonnette; Vice Chair Naughton; Trustees Carpenter, Dubilo, 
Giblin, Kraft, Murray, and Tremblay 

Committee Members Absent : Trustees Foley, Flores and Osterhaus 

University Administration : President Bulger; Acting General Counsel Haskell; Vice President Botman; 
Provosts Glynn, Marrett, Taggie and Wagner; Vice Chancellors Robinson and Cohen; Associate Vice 
President Griesemer; Mr. O'Riordan, Institutional Research Associate 

Faculty Representatives : Professors Disch and Phelan 

Chair Bissonnette convened the meeting at 10:03 a.m. and asked President Bulger for his comments. 

President Bulger first reported on the success of the Inauguration /Fundraising event held on 
September 18. He thanked everyone involved and made special mention of Susan Kelly and Matthew 
Morrissey in the President's Office, for their dedication to the success of this event. 

President Bulger then reported on the workshop for high school guidance counselors at the Amherst 
campus today, including sessions on admission standards, financial aid, and scholarship opportunities. 
Students have been invited to share their experience with the transition from high school to the 
University. The joint admissions program at community colleges will also be discussed. This year is the 
first year it will be a system-wide workshop. 

He then reported that the Lowell campus will be holding a system-wide forum on the most 
innovative perspectives in University-sponsored continuing education programs which will include 
faculty and administrators. The forum will be exploring the growing market in continuing education in 
Massachusetts and the University's capacity to respond to this market. 

Chair Bissonnette then announced the Committee would enter executive session to discuss 
A ppointments with Tenure, UMASS Amherst; and Awards of Tenure. UMASS Amherst, Boston so 

that President Bulger could leave to attend the workshop at the Amherst campus. The time was 10:10 
a.m. She stated that the Committee would reconvene in open session at the conclusion of these actions. 

It was moved, seconded and 

VOTED: To enter into Executive Session for the purpose of considering Appointments with 
Tenure, UMASS Amherst; and Awards of Tenure, UMASS Amherst, Boston and Lowell. 

Trustees Dubilo, Giblin, Karam, Kraft, Naughton voted for the motion as did Chair Bissonnette. 

At 10:16 a.m. the Committee returned to open session. Chair Bissonnette then recognized Diana 
Hackney, the new Vice Chancellor for Student Services at the Dartmouth campus. 



Committee on Academic and Student Affairs 
September 30, 1997 

Chair Bissonnette asked the Committee to adopt the Minutes from the previous meeting. It was 
moved, seconded and 

VOTED : To approve the minutes of the July 29, 1997 meeting of the Committee. 

The next item on the agenda was the Constitution of the Graduate Student Assembly, University of 
Massachusetts Boston . Vice Chancellor Robinson reported that in April of 1996, the Board had granted 
interim recognition to the Graduate Student Assembly for a period of eighteen months during which time 
the GSA was to survey graduate students regarding changes to the constitution. The updated 
Constitution has been approved in a referendum of graduate students and has been reviewed and 
approved by the campus administration and General Counsel's Office. 

Vice Chancellor Robinson then introduced Mr. Rudnick, former President of the Graduate Student 
Association, who has played a major role in the leadership of graduate students. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action on the Board Consent Agenda: 

To approve the Constitution of the Graduate Student Assembly of the University of 
Massachusetts Boston as contained in Doc. T97-098. And, further to rescind Doc. T96- 
051. 

The next item was a Transfer of Tenure, UMASS Amherst. Vice President Botman reported that Dr. 
Lynn Margulis has requested a transfer from the Department of Biology to the Department of 
Geosciences. The administrators in both departments have been consulted and all concur. It was moved, 
seconded and 

VOTED : To recommend that the Board take the following action: 

To concur with the President in the transfer of tenure of Dr. Lynn Margulis from the 
Department of Biology to the Department of Geosciences at the University of 
Massachusetts Amherst. (Doc. T97-092) 

The next item on the agenda for discussion was the Financial Aid Policy . Vice President Botman 
reported that this is a follow-up to a conversation in May focusing on the complex components of 
financial aid policy. As a public institution, the University is committed to access and affordability. A 
draft policy was distributed. 

Since May the Administration has been working to identify an appropriate financial indicator to 
incorporate into the new performance measurement system that was presented at the last meeting of the 
Committee of the Whole. A draft policy is being prepared with broad guidelines for the campuses to 
follow; they will then be asked to develop procedures for administering financial aid. In December, final 
approval of the performance measurement system which will incorporate the goals and targets for 
financial aid will be presented. The final financial aid policy will be brought back for action in February. 

There had been a question on whether or not five separate financial aid offices were necessary. Could 
centralization of services save money and meet financial need? Vice President Botman reported on her 
discussions with Vice Chancellor Goodwin and the Financial Aid Director, Judy Keyes, from the Lowell 
campus regarding the financial aid process. It was concluded that a centralization of this service would 
not be cost effective or student friendly. The financial aid process is quite complicated, from the receipt of 
the financial aid application through September. Vice President Botman then gave a detailed account of 



-2- 



Committee on Academic and Student Affairs 
September 30, 1997 

what transpires each month during the financial aid process. Counseling becomes very specific 
depending upon the students circumstances. 

She further reported that the data input of this information is a paperless process; everything is done 
electronically connected to other information such as admissions, etc. The actual counseling with 
students' and parents is a hands-on activity. 

Chair Karam inquired as to how this service can provide the very best service to the students while 
being cost effective. Vice President Botman suggested that this be an issue for the Administrative 
Redesign process. The final financial aid policy will be brought back to the Board for final approval in 
February and the actual cost-effective measures will be studied by the Administrative Redesign 
Committee. 

The next item was an Introduction to the Work of CASA . Vice President Botman provided an 
overview of the work performed by this Committee and the Academic Affairs Department in the 
President's Office. Responsibilities of the Committee include: reviewing and making recommendations to 
the full Board on matters concerning academic policy and student affairs, approving tenure cases, and 
program review and approval. She also listed academic policies and reports recommended by the 
President's office to the Committee and some of the responsibilities of the Academic and Student Affairs 
department including the coordination of the five campuses to promote efficient use of resources 
involving the Faculty, Provosts, Librarians, etc. 

There was a discussion about the tenure process and that tenure is awarded on the basis of 
performance rather than the ratio of tenured faculty members in a particular department. 

Vice President Botman also reported that the staff from the Academic and Student Affairs department 
assists students, parents, alumni, the legislature and the public on issues related to admissions, financial 
aid, discipline, and academic policy. She mentioned Mr. Steven O'Riordan, Institutional Research 
Associate, who collects and assesses data to help develop policies and data through his research. 

Following discussion of the many roles the Academic Affairs department plays, Dr. Cohen spoke of 
the post tenure review process on the Worcester campus. 

The next item was a report on System-Wide Outreach and Economic Development . Associate Vice 
President Griesemer reported that a more in-depth presentation would be given at next week's 
Committee of the Whole meeting. She then reported that a year ago the University gathered some 
leading faculty with lead researchers from the Center for Advanced Fiber Optic Applications (CAFA) at a 
sponsored workshop at NASA. Eleven potential research projects were discussed, and one of the projects 
is taking place at UMASS Worcester and is being supported by a $150,000 planning grant. If the project is 
successful and accepted by NASA it will turn into a $2-3 million dollar research grant for medical 
instrumentation for use of space. 

She also mentioned the work at Southbridge by the Financial Management Training and Education 
Center and the work with the Department of Defense. 

Ms. Griesemer then reported that some of the goals of the University-wide outreach were multi- 
campus efforts that connect research, education and training, economic development and public service 
activities of the University with the Commonwealth. Areas of focus include economic development, 
workforce development, service to state agencies and K-12 initiatives. University economic development 
includes the UMASS economic project, Massachusetts benchmarks, Strategic Envirotechnology 
Partnership (STEP) and CAFA. 

Vice President Botman then reported on the K-12 Education Outreach . She reported that there are 
over 400 initiatives across the five campuses and that President Bulger is very supportive of these 



-3- 



Committee on Academic and Student Affairs 
September 30, 1997 

initiatives. The University is currently implementing curriculum frameworks, offering workshops on 
curriculum frameworks and common core and developing means for assessing learning. A full 
presentation will be provided at next week's meeting of the Committee of the Whole. 

Vice President Botman reported that members of the President's Office staff have been working with 
Commissioner of Education, Robert Antonucci, to provide professional development opportunities for 
teachers. A task force has been set up to deal with professional education, through a summit in 
November followed by work with the campuses and public and private institutions to offer 
comprehensive proposals for professional development. 

There was then a statement about faculty being involved in any major policy decisions. Chair Karam 
stressed that the Board recognizes the hard work performed by the faculty at the University and that the 
Board is working with the President's Office to assure that we are meeting the strategic needs. Chair 
Bissonnette thanked the Chair for his input. 

There being no further business to come before the Committee, the meeting adjourned at 11:40 a.m. 



Barbara F. DeVico 

Secretary to the Board of Trustees 



♦ 



f 



-4- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Tuesday, November 18, 1997; 10:00 a.m. 

Board Room 

One Beacon Street, 26th Floor 

Boston, Massachusetts 

Committee and Committee Staff : Chair Bissonnette; Vice Chair Naughton; Trustees Carpenter, 
Dubilo, Flores, Giblin, Karam, Kraft, Murray, Osterhaus and Tremblay 

Committee Members Absent : Trustees Foley 

Other Trustees : Trustees Lewenberg, Mahoney, Mihos and Tirrell 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice 
President Botman; Chancellors Penney, Hogan and Lazare; Provosts Marrett and Taggie; Vice 
Chancellor Cohen; Mr. Lemanski, Associate Vice President for Academic Affairs and Mr. 
O'Riordan, Institutional Research Associate 

Faculty Representatives : Professors Kinney, Disch , Leclair and Phelan 

Chair Bissonnette convened the meeting at 10:14 a.m. and introduced the first item of the 
agenda, Consideration of Minutes of the Prior Meeting of the Committee . 

It was then moved, seconded and 

VOTED: To approve the minutes of the September 30, 1997 meeting of the Committee. 

Chair Bissonnette then introduced President Bulger who reported to the Committee that 
several months ago, the Board voted to approve a new B.A. in American Studies. This new 
degree was designed by Professor Lois Rudnick from the Boston campus. In September of this 
year, Dr. Rudnick was awarded the Mary C. Turpie Prize for teaching, advising and program 
development in American Studies by the American Studies Association in Washington D.C. He 
offered Professor Rudnick his congratulations on her award. 

President Bulger then recognized the important work in which both the Amherst and Lowell 
campuses have been engaged in the area of academic program development. The B.A. in 
Linguistics in Amherst and the M.A. in the Economic and Social Development of Regions at 
Lowell will add to the academic offerings available to students. 

President Bulger then spoke of the system-wide University Policy on Alcohol. The policy 
includes students, employees on campus and the residents of the communities in which the 
campuses are located. It also acknowledges the laws of the Federal and State governments and 
requires the Chancellors to designate specific procedures for where and when alcohol can be 
consumed. 



Committee on Academic and Student Affairs 
November 18, 1997 



The first action item on the agenda was Revisions to the Academic Personnel Policy, 
UMASS Worcester . Vice Chancellor Cohen reported that the new policy requires only one level 
of review by an elected committee of tenured faculty members. Chancellor Lazare reported the 
revisions streamlines the process and eliminates duplication of effort. It ensures that each case 
will be reviewed by respected senior faculty who have themselves received tenure. 



It was moved, seconded and 

VOTED; To recommend that the Board take the following action: 

To approve the revisions to the Academic Personnel Policy at the University of 
Massachusetts Worcester, listed in Doc. T95-022, as amended. 

The next item on the agenda was the A ppointment as Distinguished Professor. UMASS 
Boston . Vice President Botman reported that Professor Donaldo P. Macedo from the Boston 
campus joined the English Department at the Boston campus in 1987 and was named Professor in 
1991. This appointment as Distinguished Professor is a rare honor and is based on the 
candidate's outstanding academic distinction as a scholar or professional in his or her field. 
Trustee Lewenberg reminded the Committee that the campus should provide a forum for the 
Board to participate in a presentation of such awards. 

It was moved, seconded and 

VOTED: To recommend that the Board take the following action: 

To concur with the President in the appointment of Donaldo P. Macedo as 
Distinguished Professor of Liberal Arts and Education at the University of 
Massachusetts Boston. 

The next item on the agenda was A pproval of the M.A. in the Economic and Social 
Development of Regions, UMASS Lowell . Vice President Botman reported that the Lowell 
campus seeks to develop a thorough understanding of the complex issues relating to regional, 
social and economic development. This program will enhance the campus' ability to pursue 
interdisciplinary scholarship and teaching to prepare future regional citizens and leaders who 
will be trained to address issues of regional development. Nancy Kalunski from the Lowell 
campus also spoke about the program; Professor Phelan, Faculty Representative also voiced his 
support. 

It was moved and seconded 

VOTED: To recommend that the Board take the following action: 

To approve the final application for an M.A. in the Economic and Social 
Development of Regions at the University of Massachusetts Lowell, as contained 
in Doc. T97-105. 

The next item was Approval of a B.A. in Linguistics, UMASS Amherst. Vice President 
Botman reported that the Stage I proposal has already been approved by the Amherst campus 
Faculty Senate. She also reported that Linguistics is one of the strongest departments on the 
campus. 

It was moved, seconded and 



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Committee on Academic and Student Affairs 
November 18, 1997 



VOTED : To recommend that the Board take the following action: 

To approve the final application for a B.A. in Linguistics at the University of 
Massachusetts Amherst, as contained in Doc. T97-106. 

The next item was A pproval of the System-Wide Transfer Policy. Mr. Lemanski described 
the policy: a student from one undergraduate campus of the University who would like to take 
courses on a temporary basis at another undergraduate campus will be a visitor interchange 
student while a student permanently relocating to another campus is a transfer student. He then 
listed some of the conditions for interchange status such as the student being in good academic 
standing, having the approval of the sending institution, etc. Chair Karam had a question about 
the importance of some electives over others. Vice President Botman assured the Committee that 
the campuses would work together to make this program work. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To approve the Policy on Undergraduate Student Transfer and Visitor 
Interchange, as set forth in Doc. T97-107, and to authorize and direct the 
President to issue guidelines implementing the Policy. 

The next item was Approval of the Uniform Application . Mr. Lemanski reported the 
uniform paper and electronic application shall be available to students applying to UMASS at the 
undergraduate level beginning in the Fall of 1999. Chair Karam inquired as to the status of the 
system-wide campus application. It was reported that this would be completed sometime in the 
near future. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To authorize and direct the President to establish an undergraduate uniform 
paper and electronic admissions application to be implemented for students 
applying for the Fall 1999 semester. 

Chair Karam voted against the motion. 

The next item on the agenda was System-Wide Alcohol Policy . Before this meeting, the Ad 
Hoc Committee on Alcohol Policies had met to discuss this on-going issue. The policy stresses 
the need to abide by the laws of the Federal Government, the Commonwealth of Massachusetts, 
and the regulations of the Alcohol Beverages Control Committee. The policy also authorizes each 
Chancellor to institute a program of education for members of the campus community related to 
the dangers of alcohol. General Counsel Kirby pointed out that the individual campus policies 
on alcohol will still be in affect. 

It was moved, seconded and 



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Committee on Academic and Student Affairs 
November 18, 1997 



VOTED : To recommend that the Board take the following action: 

To approve the University of Massachusetts Policy on Alcohol, as set forth in 
Doc. T97-112, and to authorize and direct the President, in consultation with the 
Chancellors, to issue guidelines to implement the Policy. To the extent that any 
provisions in the campus alcoholic beverages policies (Doc. T93-116 and T93-016) 
are inconsistent with this policy, such inconsistent provisions are repealed. 

There was then a report on the success of the November 12 Retention Conference . The 
Conference reflected the President and the Board of Trustees commitment to retention and grew 
out of the Administrative Redesign Initiative which targeted student enrollment management as 
a prime University concern. Professor Vincent Tinto from Syracuse University was the key note 
speaker. Chancellor Penney stressed the need for a follow-up conference with more faculty 
members in attendance. A written report will be sent to the Committee. 

The next item was a Report on Fall. 1997 Admissions and Enrollment Data . Vice President 
Botman first acknowledged Mr. Steven O'Riordan for his work in this area. It was then reported 
that the undergraduate headcount of enrollments has decreased slightly to 37,665 in Fall, 1997, 
down from 1.4% from Fall of 1996. Graduate enrollments increased slightly; overall freshman 
admissions totals for the University were down 5% from last fall with the bulk of the reductions 
at Amherst and Boston; students of color as percentage of all first-time freshman remained 
relatively stable over last year at all campuses as did out-of-state undergraduate enrollment 
students. 

There was then a breakdown of admission goals and results for Fall of 1997 by each campus 
with many positive results. There was a question about why students who have applied to the 
University do not accept and if the campuses follow-up with these students. There was a 
suggestion that the enrollment managers report at next year's meeting. 

There being no further business to come before the Committee the meeting was adjourned at 
11:10 a.m. 



Barbara F. DeVico 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE JOINT MEETING OF THE 

COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

AND ADMINISTRATION AND FINANCE 

Tuesday, November 18, 1997; 11:00 a.m. 

Board Room 

One Beacon Street, 26th Floor 

Boston, Massachusetts 

Committees and Committee Staff : Chairs Bissonnette and Fey; Vice Chair Naughton; Trustees 
Carpenter, Dubilo, Flores, Giblin, Karam, Kraft, Lewenberg, Mahoney, Mihos, Murray, 
Osterhaus Tirrell and Tremblay 

Committee Members Absent : Trustees Berlandi, Bogan, Haynes, Foley, Hoff and O'Leary 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice 
Presidents Botman and Lenhardt; Chancellors Scott, Penney, Hogan and Lazare; Provosts 
Marrett, Taggie; Vice Chancellor Cohen; Mr. O'Riordan, Institutional Research Associate 

Faculty Representatives : Professors Kinney, Disch, Leclair and Phelan 

Chair Bissonnette convened the meeting at 11:20 a.m. The sole agenda item for the joint 
meeting is Approval of the Performance Measurement System Framework . 

The Performance Measurement System represents the collaborative work of the Academic 
and Student Affairs and Administration and Finance offices. A draft of the System had been 
presented to the Committee of the Whole at the August meeting. Next March and every March 
after that there will be a report on the Annual Indicators to the Board. Prior to that meeting, 
the campuses will work on setting and endorsing the targets. 

President Bulger reported the University of Massachusetts is far ahead of many 
institutions in its planning and its commitment to accountability. The Performance 
Measurement System looks strategically to the future, which will help the University be 
fiscally responsible and will demand academic excellence. 

Vice President Lenhardt provided some background information for the University 
Performance Measurement System. The framework builds on past system-wide strategic 
planning efforts. The framework will also respond directly to the legislative mandate in the 
FY1998 budget which stipulated nine "objectives" of which the performance of the University 
would be measured. The University added one final broad objective to the list: to ensure the 
high quality of academic programs and services. 

Vice President Botman then recognized Mr. Steven O'Riordan, Valerie Uber and Mary- 
Beth Masci for their work on this project as well as the campuses and their staff members. She 
informed the Committee that the system has three major components, a set of annual indicators, 
a series of periodic reports and studies, and an academic program quality assessment and 
development policy. Over time these three components when fully developed will address all 
ten objectives. 



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Committee on Academic and Student Affairs 
Committee on Administration and Finance 
November 18, 1997 

Mr. O'Riordan then made a presentation on the system. There was a question about 
indicator efforts in Worcester. These were being delayed due to the potential clinical merger. 

Chair Karam then requested that the annual target performance indicators needed to 
implement this policy, come before the Board for their approval. The original motion was 
amended to include this request. 

The Committee also agreed that progress from the measurements come back on a regular 
basis. 

It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To adopt the University of Massachusetts Performance Measurement System 
policy, as set forth in Doc. T97-111. The President shall issue guidelines to 
implement this policy and he shall recommend the annual target performance 
indicators to the Board of Trustees for approval. 

There being no further business to come before the Committees the meeting was adjourned at 
12:12 p.m. 



Barbara F. DeVico 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE OF THE WHOLE 

Tuesday, February 4, 1997; 4:00 p. m. 

Chancellor's Conference Room 

University of Massachusetts 

Boston, Massachusetts 

Committee and Committee Staff : Chair Karam, Trustees Andriolo, Bissonnette, Bogan, Carter (arrived 
late), Croft, Fey, Flores, Foley, Hoff, Kraft, Lewenberg, McNeil, Mihos, Naughton, O'Leary, Poduska and 
Sweeney (arrived late) 

Committee Members Absent : Trustee Arciero, Giblin, Haynes and Spence 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice President 
Chmura; Chancellors Cressy, Hogan, Lazare, Penney and Scott; Deputy Chancellors Russo and Stanton; 
Mr. Hollings, Chief Financial Officer; Mr. Greene, C.O.O. Clinical System; Mr. Manning, Chief Operating 
Officer for the Medical School 

Faculty Representative : Professor May 

Guests : Mr. Duffy, APM, Inc.; Mr. McClelland, Clinical Management Board 

Chair Karam convened the meeting at 4:05 p.m. and introduced the first item of the agenda, the 
Report on the Office of Commercial Ve ntures and I ntellectual Property including Campus Status of 
Collective Bargaining for Tech nology Transfer . 

Vice President Chmura reported that the University of Massachusetts, annually brings in 
approximately $170 million in research which makes the University a major research center in this state. 
Faculty on every campus are doing research which may have serious commercial potential. As example, 
Mr. Chmura noted that at the Medical Center there is work on vaccines and medical and surgical 
instruments; at Boston and Dartmouth there is research in software; in Amherst they are finding ways to 
search the Net; in Lowell they are developing sensors for pollution control. 

Prior to Fiscal Year 1996 there was a general lack of organization for technology transfer, a lack of 
patent funds, inadequate and poorly enforced policies and constraints of state laws. In the last two years, 
Mr. Chmura reported, there have been many positive changes in the development of commercial 
ventures as a result of this Board's priority for economic development and tech transfer, the President and 
Chancellor's leadership and support, professional organization, strategic investments and the adoption of 
new policies. 

Vice President Chmura listed the current goals of the Commercial Venture and Intellectual Property 
office including: servicing entrepreneurial faculty, expanding and diversifying R&D portfolio, generating 
licensing revenues, enhancing competitiveness with other institutions and generating economic benefits 
for the Commonwealth. Specific objectives include: increasing disclosures and patents, generating 
commercial licenses and income, expanding industrial collaboration/R&D, encouraging start-up 
companies and enhancing the public image of the University. 

Vice President Chmura then listed some of the steps taken to date regarding organization, policies 
and funding: 



Committee of the Whole 
February 4, 1997 

•System- wide CVIP network established with offices at Worcester, Amherst and Lowell 

•System- wide CVIP Advisory Council created 

•Professional staff recruited 

•System- wide patent fund established 

•New policies adopted by the Board 

•System- wide Conflicts of Interest Committee organized. 

He reported on the projected investments and returns and pointed out that the University historically 
generated an income of less than a couple hundred thousand dollars; last year, primarily at the Worcester 
campus the University generated about three quarters of a million dollars in fees and royalties and 
brought in about $3 million dollars of industrial R&D. 

The projected fees and royalties and projected R&D are expected to grow consistently into the future. 
The immediate challenges are to complete union negotiations with Amherst, Boston and Dartmouth, 
continue educational programs with the faculty, support new Amherst and Lowell CVIP offices, reach 
out to Boston and Dartmouth, and market to Massachusetts firms and selected industrial targets. In the 
future we would like to use the expertise of the Board members, establish a CVIP trust fund, consider 
new mechanisms for industrial relations, advocate for increased state autonomy and maintain a long- 
term commitment to these ventures. 

Chancellors Hogan, Lazare, Scott and Cressy then commented on activities on their respective 
campuses concerning commercial ventures and agreed that the work being done will empower future 
research activities especially with projected cuts in federal R&D budgets. Vice President Chmura noted 
that the success of this effort would not have been possible without the leadership of the Worcester 
campus. 

Chair Karam then thanked General Counsel Kirby for her work in this area as well as Vice President 
Chmura for fulfilling a commitment from this Board to make economic development one of our priorities. 
He then announced that he will be appointing several members of the Board to serve on an Ad Hoc 
Committee to provide counsel to Vice President Chmura and the University Administration on certain 
key issues to continue and enhance progress. 

President Bulger also thanked General Counsel Kirby, Vice President Chmura and the Chancellors for 
their work in this area. He also acknowledged the leadership role that the Worcester campus has played 
in this area. 

Chair Karam asked for Trustees to inform him of subjects they'd like to see discussed at future 
Committee of the Whole meetings. 

Chair Karam then asked for a motion to go into Executive Session for the Consideration of 
Lease/Value of Real Estate. University of Massachusetts Worcester. He indicated that the Board would 
not reconvene in open session. Trustees Andriolo, Bissonnette, Bogan, Fey, Flores, Foley, Hoff, Karam, 
Kraft, Lewenberg, McNeil, Mihos, Naughton, O'Leary and Poduska voted for the motion. Deputy 
Chancellors Russo and Stanton, Mr. Hollings, Mr. Duffy, Mr. Greene, Mr. Manning and Mr. McClelland 
were asked to stay. The time was 4:40 p.m. 

It was moved, seconded and 

VOTED: To enter into Executive Session to consider Lease/Value of Real Estate, University of 
Massachusetts Worcester. 




JpM^ f. be W-WJ 



Jarbara F. DeVico 
Staff Assistant 






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UNIVERSITY OF MASSACHUSETTS 

AMHERST* BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE OF THE WHOLE 

Tuesday, June 3, 1997; 3:45 p.m. 

Marine Science Laboratory 

706 South Rodney French Boulevard 

Clark's Cove 

New Bedford, Massachusetts 

Committee and Committee Staff : Chair Karam, Vice Chairs Haynes and O'Leary; Trustees Andriolo, 
Arciero, Berlandi, Bogan, Carter , Croft, Giblin, Hoff, Lewenberg, Mihos, Naughton and Sweeney 

Committee Members Absent : Trustee Bissonnette, Fey, Flores, Foley, Kraft, Mahoney and McNeil 

University Administration : President Bulger; Vice President and General Counsel Kirby; Chancellors 
Cressy, Hogan, Lazare, Penney and Scott; Deputy Chancellors MacCormack and Stanton; 

Guests : Ms. Alceste Pappas, Pappas Consulting Group 

Chair Karam convened the meeting at 4:07 p.m. and acknowledged former Chancellor and Vice 
President Deck. He then introduced Trustee Giblin to report on the first item on the agenda, 
Administrative Redesign Update. Trustee Giblin called on Alceste Pappas for her report. 

Ms. Pappas distributed a summary presentation and highlighted the five goals established by the 
Board for transforming the University's operating environment and achieving administrative excellence: 

1) Improve Services 

2) Reinvest Administrative Savings 

3) Transform the Working Environment 

4) Operate More Efficiently 

5) Make the University more Competitive 

Ms. Pappas then reported on the Administrative Redesign Stage 3 plans which established a Board 
Ad Hoc Committee, an ARD Steering Committee and several steering committees and campus redesign 
teams. The Steering Committee has met twice and has: 

• finalized the Statement of ARD goals which will appear at the next Trustees meeting; 

•revised several drafts of proposed outcome measures for ARD within the context of the ARD goals 
approved by the Ad Hoc Trustee Committee. The next draft of outcome measures will be brought 
to the Steering Committee on June 11; 

•developed a set of draft guidelines for public /private partnerships which will be completed at the 
June 11 meeting; 

•steered, monitored, and guided several cross-cutting issues to the three ARD University-wide 
Committees; 

| -steered issues relating to the Amherst SIS project and converged on overall University approach. 



• 



Committee of the Whole 
June 3 1997 

Ms. Pappas pointed out that the redesign process has not always been valued by all members of the 
campuses. r ^" 

Trustee Giblin thanked Ms. Pappas for her report and asked the Chancellors to respond. Chancellor 
Hogan responded that while the administrative redesign process has provided better service, it has not 
been an easy task given the fact that there are fewer employees. He expects to continue the process for 
24-36 months and emphasized the terrific spirit encountered by people on the campus. 

There was a question about how Chancellor Hogan was able to make the project work. Chancellor 
Hogan reported that there has been alot of dialogue on campus and those not willing to accept the change 
had the option of accepting the early retirement package. 

Chancellor Scott then reported on the status of the process on his campus and pointed out that while 
change was not easy he has not encountered resistance among his senior staff. 

There was a general discussion by the Committee concerning the need for cooperation University - 
wide to complete the job. Trustee Haynes pointed out that the unions need to be included in campus 
plans. Trustee Giblin stated that the work will continue and emphasized the need to include the 
members of the Board in the process. 

Chancellor Cressy then began the Marine Science Laboratory Presentation by introducing Professor 
Brian Rothschild, Director of the Marine Science Center. Some of the highlights included: 

•enhancing the Massachusetts competitive advantage in the global $400 Billion Marine /Environment 
Market; 

•creating a first class Marine Science Environment and Technology Program which integrates ^ 

Education/Research/Economic Development and meets the needs of the University, the region 
and the Commonwealth; 

•recruiting Dr. Brian Howes from Woods Hole who brings $630K in grants for coastal waters; 

•capitalizing on relationships (Harvard - Ocean Modeling - Professor Allan Robinson); 

•developing a Natural Laboratory in order to develop instrument/models and educate 
environmental decision maker; 

•providing education and create jobs; 

•providing economic sustainability to the State's Fishing Industry; 

•providing technology for Region's Aquaculture development. 

Chancellor Cressy reported that construction is ahead of schedule and the building will be occupied 
on July 1, 1997. The recruitment of top scientists is also ahead of schedule. 

Chair Karam thanked Chancellor Cressy and the staff of the Marine Science Lab and asked the 
Chancellor to begin the tour. 

There being no further business the meeting was adjourned at 5:45 p.m. r 



Barbara F. DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE OF THE WHOLE 

Tuesday, August 5, 1997; 4:00 p jxi. 

Middlesex Room 

Sheraton Inn Lowell 

Lowell, Massachusetts 

Committee and Committee Staff : Chair Karam; Vice Chairs Haynes and O'Leary; Trustees Berlandi, 
Carpenter, Dubilo, Fey, Flores, Giblin, Hoff, Kraft, Lewenberg, Mihos, Murray, Naughton, Osterhaus, 
Tirrell and Tremblay 

Committee Members Absent : Trustees Bissonnette, Bogan, Foley and Mahoney 

University Administration : President Bulger; Acting General Counsel Haskell; Vice Presidents Botman 
and Lenhardt; Chancellors Cressy, Hogan, Lazare, Penney and Scott; Mr. O'Riordan, Institutional 
Research Associate. 

Faculty Representatives : Professors Disch and May 

Chair Karam convened the meeting at 4:05 p.m. and introduced the subjects for today's meeting: 
Campus Peer Groups and Performance Measurement System. He then welcomed Mr. Edward Dubilo 
to the Board of Trustees. 

Vice President Botman then reported that the President's Office has been working closely with the 
campuses focusing on budgetary issues, Board of Higher Education issues, and Strategic Planning. This 
process has been beneficial not only to the President's Office but to the support the administration can 
give to the campuses. As with colleges and universities across the country, it is essential that the 
University is well managed and issue oriented. 

Several months ago, the President's Office asked the campuses to revise their lists of peer institutions 
to which they compare themselves on financial and academic indicators. This process is now complete, 
and Vice Presidents Botman and Lenhardt reported on how peer comparisons are important, how peers 
are chosen and how the campuses gathered the information. 

Vice President Botman noted that because of the unique nature of the Medical Center they have not 
been involved in this process. In the future the administration will look for appropriate comparisons and 
develop measurements for the Medical Center. 

Vice President Botman then acknowledged the important contributions of Steve O'Riordan, Daphne 
Layton and Valerie Uber. 

Vice President Lenhardt began his presentation by asking the Committee to review the, list of peer 
institutions and aspirants in the materials distributed. Peer comparisons help the University assess the 
status of the campuses relative to other similar institutions, pinpoint areas deserving attention, provide 
context for decision-making, set goals and assess performances. 

Vice President Lenhardt then offered some examples of peer comparisons such as administrative 
expenses, cost per student, characteristics of entering students, diversity, faculty awards, etc. There are 
some limitations when examining this information: for example, the state of Massachusetts context, e.g., 



( 



I 



# 



I' 





#of Peers 


Amherst 


14 


Boston 


10 


Dartmouth 


10 


Lowell 


10 



Committee of the Whole 
August 5, 1997 

private sector versus state financing; also the University of Massachusetts campuses tend to be smaller 
than our peers. 

The peer selection criteria include institution type, enrollment size, student characteristics, program 
mix, financial factors and research activity. The data collection effort proved to be a major challenge for 
the campuses with costs and time frameworks to keep in mind. 

Vice President Lenhardt reported that they had also put together some aspirant institutions used for 
setting goals, determining best practices and providing context. The summary of peers is as follows: 

Number of Aspirants Original Peers Included 
7 7 

4 6 

5 2 
3 2 

Vice President Botman began her presentation on the Performance Measurement System by listing 
the goals and purposes: meet internal and external expectations for accountability in a single system; 
respond to immediate Legislative mandates; build on prior University efforts, institutionalize framework 
for the long term and clarify how campus performance will be measured. 

She then listed the ten objectives: 1) promote student access and affordability, 2) recruit qualified 
undergraduate and graduate students, 3) promote student success; 4) pursue theoretical and applied 
research, scholarship and creative activity, 5) contribute to the economic development of the 
Commonwealth, 6) support K-12 education programs, 7) provide policy research addressing the needs of 
the Commonwealth and local communities, 8) ensure cost-effective use of resources, 9) maximize fund 
raising from private sources, 10) ensure high quality of academic programs and services. 

Vice President Botman then reported on the performance measurement system, which includes three 
components, reporting annual indicators, connecting periodic reports and conducting academic program 
assessment. These components will be used in combination and over time. 

Some of the annual indicators will measure the rate of growth in tuition and fees; average SATs of 
freshmen; retention and graduation rates; operating margin; and endowment per student. The periodic 
report will focus on more specific topics such as alumni surveys, K-12 program inventories, economic 
impact study, report on status of libraries and information technology. 

There will also be an academic program assessment on the quality of core functions such as teaching 
and learning, research and scholarship, public service and academic outreach. 

Vice President Botman reported on the next steps including to obtain campus and Trustee feedback, 
finalize the indicators, set goals and targets, consult with members of the Legislature and the Board of 
Higher Education, and obtain the Board's approval of the final framework, possibly in October. 

President Bulger thanked the Vice Presidents for their work on such valuable information. A 
question and answer session followed the presentation. It was suggested that the measurement system 
and the next steps be implemented as soon as possible. 

Chair Karam also commended the Vice Presidents and staff members for their dedication to these 
efforts. The members of the Committee with Chair Karam's support requested that the issues 
surrounding the measurement system and targets be discussed further by the Committee and Academic 
Affairs and /or Administration and Finance. 



- 



Committee of the Whole 
August 5, 1997 

Chair Karam reported that there would be more discussion on the progress made from items 
~£t discussed at the last Retreat and that a half-day Retreat would be scheduled in the future. 

There being no further business to come before the Committee, the meeting adjourned at 5:30 p.m. 



Barbara F. DeVico 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE OF THE WHOLE 

Tuesday, October 7, 1997; 4:00 p.m. 

V.I.P. Room 

3rd Floor, Mullins Center 

^ University of Massachusetts 

Amherst, Massachusetts 

Committee and Committee Staff : Chair Karam; Vice Chairs Foley and Haynes; Trustees Berlandi, 
Bissonnette, Bogan, Carpenter, Dubilo, Fey, Flores, Giblin, Lewenberg, Mihos, Murray, Naughton, 
Osterhaus, Tirrell and Tremblay; Ms. DeVico, Secretary to the Board of Trustees 

Committee Members Absent : Trustees Kraft, Hoff, Mahoney and O'Leary 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice 
Presidents Botman and Chmura; Ms. Griesemer, Associate Vice President for Economic Development; 
Chancellors Cressy, Hogan, Lazare, Penney and Scott; Mr. O'Riordan, Institutional Research Associate; 
Mr. Moore, University Professor of Political Economy 

Faculty Representatives : Professors O'Connor and Phelan; Dr. Cooke 

Chair Karam convened the meeting at 4:10 p.m. and commented that the Committee of the Whole 
meetings are for issues to be discussed in length that will educate the Board members and assist us with 
our duties as Trustees. 

President Bulger began the Presentation - Five Campus Outreach Initiatives by introducing Vice 
President Botman. 

Vice President Botman began by acknowledging Mr. Steven O'Riordan who helped put together this 
presentation. She then introduced Associate Vice President Griesemer. 

Associate Vice President Griesemer introduced several people from the Amherst campus: Mr. 
Demski, Interim Vice Provost for University Outreach, Mr. Aiken, Director of Continuing Education, and 
Ms. Templeton, Outreach for K-12. She then reported on the Service to State Agencies initiative and read 
a quote from President Bulger made at the Benchmarks presentation in Boston: "As a state university, we 
have a special responsibility to be a 'good citizen' of the Commonwealth and to use our intellectual capital 
to help address the educational, economic and social needs of the state." 

Vice President Botman then reported that the University provides service as a land grant and public 
institution which has a three-part mission: teaching, research and service. There is also a growing 
demand for university involvement in state issues and therefore becoming a five-campus system has 
created special opportunities for the University. 

Dr. Griesemer described some of the work that has been done with several state agencies such as the 
Transportation Department, Office of Economic Affairs, and the Department of Mental Retardation. 

Vice President Botman then reported on the K-12 Initiative reporting and noted that President Bulger 
is very committed to supporting the K-12 system throughout the Commonwealth. There are over 400 
initiatives across the five campuses that range from long-range, highly developed projects to event- 



<v 



Committee of the Whole 
October 7, 1997 

specific one-time efforts. The purposes of the outreach efforts vary from facilitating educational reform, 
providing professional development to teachers, developing curricular materials, working directly with 
** students, assisting with broad-based systemic reform of schools, and working with communities. 

Vice President Botman reported that a major portion of the University efforts are focused on 
facilitating educational reform in Massachusetts, working with teachers to implement curriculum 
frameworks, and offering workshops on these frameworks. The Dartmouth campus is collaborating with 
the New England Network which is an organization promoting collaboration between high schools and 
college teachers of foreign languages to measure learning outcomes of the most commonly taught foreign 
languages. She then listed linkage examples going on at each of the campuses. 

Vice President Botman reported on a meeting with Mr. Eve and Ms. Karavites from the Donahue 
Institute and Commissioner of Education, Robert Antonucci. The meeting participants discussed ways in 
which the University system could support the professional development needs of educators who are 
implementing education reform in Massachusetts. These discussions resulted in a University 
Professional Development Task Force being formed with representation from each of the campuses. The 
Task Force is charged with proposing a framework for Professional Development for educators 
throughout the Commonwealth. The Task Force will sponsor a University-wide Professional 
Development Summit in November to facilitate dialogue among the campuses about what role the 
University should play in professional development. Following the summit, another meeting will be held 
with members of the higher education community and teachers. By late spring, the Task Force hopes to 
present to Mr. Antonucci with a comprehensive proposal for insuring professional development for K-12 
for teachers and administrators throughout the Commonwealth, and the role the University can play in 
making that happen. 

Ms. Griesemer also reported on last year's second Academy for New Legislators consisting of a three- 
day workshop for new legislators in both the House and Senate. There are plans to provide this service in 
1998. She also mentioned the establishment of the UMASS Labor Extension program on four of the 
campuses established with help from Trustee Haynes. This program has offered 250 workshops across 
the state on union-related issues for leadership and memberships from various unions. 

She continued her discussion on the Southbridge/Department of Defense Initiative, a collaboration 
with the five campuses and 15 community colleges which provides leadership training for FS12-15 DFAS 
(Defense Finance and Accounting Services) employees. 

Ms. Griesemer also reported on the Center for Advanced Fiberoptic Applications (CAFA) and the 
partnership with NASA involving non-invasive surgery for space medicine. 

Vice President Chmura then reported on the economic development initiative. He highlighted the 
Strategic Envirotechnology Partnership (STEP) which provides technical assistance to developing 
environmental technologies. We have received $2 million dollars from the state (plus $1 million match) 
for 7 R&D centers on the four campuses. He also commented that Faculty and students from Boston and 
Lowell are working with companies developing technologies to solve the MWRA's problem of toxic 
mercury released in Boston Harbor. 

Vice President Chmura also reported on the State's request to develop a recycling initiative. Last 
week $675 K was transferred from EOEA to UMASS to develop a state-wide strategy, internships, etc. He 
also commented on the third annual Telecommunications R&D Conference the University will host on 
November 13, at UMASS Lowell. 

He reported on the UMASS Economic Project which involves an objective analysis of state economic 
issues. Economic studies include impacts on closing Hanscom AFB (Amherst), electrical power and 
industrial competitiveness (Lowell), Future of the Telecommunication Industry (Amherst), and the 
^ UMASS MacCormack Public Opinion Poll at UMASS Boston. 

-2- 



Committee of the Whole 
October 7, 1997 

He concluded his remarks by introducing Professor Craig Moore to discuss the Massachusetts 
Benchmarks initiative. Professor Moore began by reporting on a request from the Governor's Economic 
Council to monitor the state economy. The project involves a partnership with the Federal Reserve Bank 
of Boston to provide quarterly economic review and briefings for state policy-makers. 

The primary goal of the initiative is to promote strategic discussion of state and regional and 
economic issues, to provide accurate and timely information for policy making, business leaders, labor 
organizations and education institutions, and to help fulfill the University issue of supporting a stronger 
Massachusetts economy. 

Vice President Chmura then concluded the discussion by presenting future issues for the Board: to 
continue leadership and resource commitments, to further develop organizational infrastructure, to 
provide recognition and support to faculty and staff, to link service efforts to resource development and 
to promote greater awareness and support for the service mission. He acknowledged the help from the 
campuses with the benchmark initiatives and the leadership provided by the President. 

Chair Karam and President Bulger thanked the Vice Presidents for this informative presentation. 

The next item was the Approval of the Mission Statement and Strategic Priorities of the University 
of Massachusetts . President Bulger reported that in 1993 the Board approved a statement of system 
priorities. At the last Trustee Retreat there was a discussion about clarification of these priorities and 
whether or not they were still in effect. President Bulger then restated the mission statement and the 
strategic priorities of the University of Massachusetts: 

To provide an affordable education of high quality and conduct programs of research and public service 
that advance our knowledge and improve the lives of the people of the Commonwealth. He then listed 
the five Strategic Priorities of the University: 

1) The University shall maintain the highest standard of academic excellence; 

2) The University shall maintain an atmosphere where each person, regardless of religious, ethnic, 
economic or social background, will be comfortable; 

3) The University shall offer and promote distinctive forms of public service; 

4) The University shall develop and manage its resources effectively; 

5) The University shall demonstrate the excellence and advance the unique missions of its five 
campuses. 

President Bulger then reported that the University community should find every opportunity to let 
others know the excellent work provided by this University and acknowledged the many people that 
have provided support. 

Chair Karam asked the University community to embrace the mission statement and strategic 
priorities and thanked the President for his leadership. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action: 

To adopt the Mission Statement and Strategic Priorities of the University of 
Massachusetts as restated in Doc. T97-101. 



J 



I 



Committee of the Whole 
October 7, 1997 



There being no further business to come before the Committee, the meeting adjourned -at 5:15 p.m 



Barbara F. DeVico 

Secretary to the Board of Trustees 



2 



J 



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,%r 



UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE OF THE WHOLE 

Tuesday, December 2, 1997; 4:00 p.m. 

Faculty Conference Room 

University of Massachusetts 

Worcester, Massachusetts 

Committee and Committee Staff : Chair Karam; Vice Chairs Foley and Haynes; Trustees Berlandi, 
Bissonnette, Carpenter, Dubilo, Fey, Flores, Giblin, Kraft, Lewenberg, Mahoney, Murray, 
Naughton, Osterhaus and Tremblay 

Committee Members Absent : Trustees Bogan, Hoff, Mihos, O'Leary and Tirrell 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice 
President Botman; Chancellors Scott, Penney, Cressy, Hogan and Lazare 

Faculty Representative : Professors O'Connor, Disch, Phelan and Dr. Cooke 

Trustee Naughton convened the meeting at 4:40 p.m. and introduced the discussion item on 
the agenda, Academic Restructuring . 

President Bulger reported that to date the campuses have reallocated over $28 million dollars. 
Today the campuses will show how the campuses have reallocated dollars, how they have 
restructured academic programs and the impact this has had on faculty. 

Vice President Botman reported that this has been a collaborative process between the 
campuses and the President's Office and acknowledged Kate Harrington who was instrumental in 
putting this report together. She then provided some background information: in February, 1995 
the Board adopted a plan to reallocate 3% of the fiscal year 1995 state appropriation each year for 
five years starting in fiscal year 1996. The reallocations were to be made in accordance with 
strategic priorities established by each campus and consistent with the strategic priorities of the 
University recently adopted by the Board of Trustees. Chancellor Lazare's report has been 
postponed until after the clinical practice has separated from the Medical School. 

Dr. Botman further reported that the campuses have been successful and Chancellors have 
accomplished meaningful reallocation. The 3% reallocations should be looked at as a five year 
plan. In the third year of the process, campuses should have reallocated to strategic priorities a 
figure equal to 9% of the fiscal year 1995 state appropriations. The themes that emerged from the 
campus strategic priorities are the need for enhanced technology, a focus on retention and 
graduation rates, stronger support for research and the refinement of curriculum to maximize the 
strength of each campus. 











Committee of the Whole 
December 2, 1997 



Vice President Botman reported that across the system since 1995, 14 new programs have been 
established, 33 programs have been discontinued, over 130 programs have been targeted for 
stability growth and enhancement and over 50 programs are targeted for reduction, realignment 
or consolidation. Academic restructuring decisions have also affected faculty lines; some faculty 
positions have been reallocated to other departments, some have been left vacant and some 
departments with openings have been authorized to fill the positions. She then turned to the 
Chancellors who gave full reports to the Committee and responded to questions. 

Trustee Naughton thanked the Chancellors for their presentations and commended the 
Chancellors and their staff members for the amount of work that has been undertaken with 
academic restructuring. Trustee Haynes stressed the need to continue to educate the legislature 
and the Governor's office about the work that is being done allocating resources and the need to 
focus on plant maintenance. 

There being no further business to come before the Committee, the meeting adjourned at 6:13 
p.m. 



Barbara F. DeVico 

Secretary to the Board of Trustees 



-2- 



i 



• 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
DEVELOPMENT COMMITTEE 

Tuesday, June 3, 1997; 2:30 p.m. 

Marine Science Laboratory 

706 South Rodney French Boulevard 

Clark's Cove 

New Bedford, Massachusetts 

Committee Members : Chair Hoff, Trustees Croft, Karam, Mihos and Naughton 

Committee Members Absent : Trustees Fey, Foley and Kraft 

Other Trustees : Trustee Andriolo, Bogan and Haynes 

University Administration : President Bulger; Executive Vice President Julian; Vice President and 
General Counsel Kirby; Chancellors Scott, Penney, Cressy, Hogan and Lazare; Development Officers: 
Mr. Hedgepeth, Mr. Luck, Mr. Ramsbottom, Mr. Rizzo and Mr. Courtney 

Chair Hoff convened the meeting at 2:35 p.m. and announced that Mr. Ronald Suduika will begin 
his duties as the Executive Director of the University of Massachusetts Foundation on June 9th and will 
coordinate all development activities for the system. He will also consult with the President on 
federal government grants and contracts. 

The next item on the agenda for discussion was Update - Fundraising Event/Inaugural . Chair Hoff 
reported that plans for the event were progressing on schedule and asked the Committee to voice their 
support for Dusty Rhodes of Conventures for her progress. It was moved seconded and 

VOTED : That the Committee continue to support the efforts of Dusty Rhodes and members of the 
President's Office. 

The next item on the agenda was Consideration of Minutes of the Prior Meeting of the Committee . 

It was moved, seconded and 

VOTED : To approve the minutes of the April 23, 1997 meeting of the Committee. 

Chair Hoff then asked Vice President Julian and each Development Officer to update the members 
of the Committee with their progress in connection with the event and the selling of tables. Chair Hoff 
pointed out that this event provides the University an excellent opportunity to not only provide 
scholarships but showcase the University as an institution of excellence. 

The Development Officers reported on their progress with the number of tables sold and /or 
committed. Each campus reported that they intend to reach their goals. Chair Hoff requested that the 
campuses provide him by June 30 with a report of their progress. There was a brief discussion about 
overselling the event and the need for a contingency plan. 

A President Bulger then reported that he and Chair Karam had met earlier today with William 

Taylor at the Boston Globe where they were able to speak of the success of the University with several 



• 



Development Committee 
June 3, 1997 

prominent members of the Boston business community. The President also voiced his appreciation to the 
Chancellors for their hard work and expressed his support for the September event. 

The next item was Campus Capital Campaigns - Progress Report and State Match-Updates . Each 
campus updated the Committee with the status of its capital campaign. Vice Chancellor Hedgepeth 
from Amherst was pleased to announce the donation of $6 million to the Amherst campus from Mr. 
Eugene Isenberg, a graduate of the campus and currently chairman and CEO of Nabors Industries. 

Chancellor Penney distributed a brochure highlighting Boston campus goals and accomplishments 
including the five year campaign goal of $50 million; on June 30, 1997 the Boston campus will have 
accumulated a total of $17 million. 

Chancellor Cressy reported that the Dartmouth campus capital campaign amount was $10 million; 
they have gone over the top and plan to raise the goal to $20 million. He also reported on the event 
planned for Saturday night with Anthony Quinn which is expected to exceed original fundraising 
expectations. 

Mr. Rizzo from the Lowell campus reported that the campus goal this year was $5.2 million and 
they will exceed that goal by June 30. 

Mr. Courtney from Worcester reported that they had set their goal for $7.5 million and are at 9 
million now expected to exceed this amount by the end of the fiscal year. 

There was a general discussion concerning the state matching program and the campus Development 
officers reported that the Program had influenced many donors. President Bulger reported that the 
Legislature is considering a bill to make over $6 million available for match in 1998. 



Chair Hoff then requested recommendations from the campuses for 3-5 individuals who would be 
potential directors for the Foundation by June 30. 

Chancellor Penney asked the Committee to review the publication distributed earlier. 

There being no further business to come before the Committee, the meeting adjourned at 3:50 p.m. 

Barbara F. DeVico 
Staff Assistant 









UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
DEVELOPMENT COMMITTEE 

Wednesday, April 23, 1997; 2:30 p.m. 

Board Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee Members : Chair Hoff; Trustees Fey, Karam, Kraft and Mihos 

Committee Members Absent : Trustees Croft, Foley and Naughton 

Other Trustees : Trustee Andriolo 

University Administration : Vice President and General Counsel Kirby; Executive Vice 
President Julian; Chancellor Cressy 

Guests: Ms. Rhodes, President, Conventures 

Chair Hoff convened the meeting at 2:43 p.m. The first item on the agenda was an Update 
of the Fundraising Event/Inaugural planned for the Fall. He first announced that Trustee Kraft 
has agreed to be a co-chair of the event along with Wayne Budd, Jack Connors, John Cullinane 
and Robert Mahoney. He also reported on the discussions he has had with Vice President 
Julian and the development officers on the campuses regarding the details of the event 
including table sales and the plans to showcase two major graduates of the University. 

Chair Hoff then turned to Dusty Rhodes who updated the Committee with plans for the 
gala event. The tentative schedule for September 18, 1997 will begin with a faculty brunch at 
the JFK Library followed by an academic procession and a formal installation of the President 
at Faneuil Hall. Selected guests would then be invited to join President Bulger for a lunch at 
the JFK Library followed by a reception and formal dinner at Symphony Hall. 

There was then discussion about the catering services for these events and the need to focus 
on the fundraising aspects of the event and the announcement of the scholarship monies raised. 
Ms. Rhodes reported that she would look into the different options available and report back 
to the Chair within the next two weeks. 

Chair Hoff said there would be more discussion on every level concerning this event and 
another meeting of this Committee would be scheduled before the June Board meeting. 

Chair Hoff then announced that Ronald Suduika has been hired to head the University of 
Massachusetts Foundation. He also reported that Mr. Lyons will be staying on as part of the 
Foundation organization. He also announced that the Dartmouth campus has joined the 
Foundation and he expects the Foundation will play a significant role in the future of the 
University. 

Chancellor Cressy announced that the Dartmouth campus has exceeded its capital 
campaign goal. There will be a gala for the centennial and the capital campaign the day 
before Commencement on June 7th. In two and a half years, they have raised $2 1 /2 million, a 
figure that is expected to increase. 



c 









Development Committee 
April 23, 1997 

Chair Hoff then wrapped up the discussion of the Inaugural event in September and the 
Committee agreed that this event is a kick-off event for the University focusing on the theme 
of excellence. 

General Counsel Kirby reported that the By-Laws for the Foundation have been finalized 
and that once Mr. Suduika starts work, campuses will begin establishing the campus groups. 
Chair Karam requested that the campus capital campaign specifics be discussed at a future 
meeting of this Committee. 

There being no further business to come before the Committee, the meeting adjourned at 3:50 
p.m. 



OcJwi^^.y^r 



Barbara F. DeVico 
Staff Assistant 



-2- 



(It 






( 



• 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
DEVELOPMENT COMMITTEE 

Tuesday, August 5, 1997; 3:00 p jn. 

Hamilton Room 

Sheraton Inn Lowell 

Lowell, Massachusetts 

Committee Members : Chair Hoff, Trustees Berlandi, Dubilo, Fey, Karam, Kraft, Mihos, Naughton and 
Tremblay 

Committee Members Absent : Trustees Foley and Mahoney 

Other Trustees : Trustee Murray 

University Administration : President Bulger; Executive Vice President Julian; Acting General Counsel 
Haskell; Chancellors Cressy, Hogan, Lazare, Penney and Scott; Deputy Chancellor MacCormack; Mr. 
Suduiko, Executive Director, UMASS Foundation; Development Officers: Mr. Luck, Mr. Ramsbottom, 
Mr. Rizzo and Mr. Courtney; Mr. Matz, Associate Vice Chancellor for Development, UMASS Amherst 

Faculty Representative : Professor May 

Chair Hoff convened the meeting at 3:00 p.m. and welcomed the newest members to the Committee. 

The first item on the agenda was Consideration of the Minutes of the previous Committee meeting. 

It was moved, seconded and 

VOTED : To approve the minutes of the June 3, 1997 meeting of the Committee. 

The first item for discussion was Update on the Inauguration/Fundraising Event . Chair Hoff first 
thanked everyone involved in the event, noting that all of the tables have been sold. He then 
suggested that the Committee discuss ways to raise funds to cover the costs of hosting this event. 

A lengthy discussion then ensued concerning the many details involved in organizing the September 
18th gala, including the estimated amount of expenses and the feasibility of accessing other sections of 
Symphony Hall to accommodate more guests. There was also talk about the time frame of the event 
and the plans for a program book. 

Chair Karam suggested that different approaches be considered regarding sponsoring part of the 
luncheon planned for earlier in the day. These kinds of decisions as well as the entertainment portion 
of the gala would be discussed further by the Chairs of the Fundraising Committee as well as Dusty 
Rhodes and Conventures. 

It was also pointed out that this event will help with plans to make this an annual occasion. It was 
decided that today's discussion and suggestions be brought back to the Fundraising Committee for 
further work. 



f 






' 



Development Committee 
August 5, 1997 



The next item was Campus Capital Campaigns - Progress Report . There were brief comments from 
the campus Development Officers on the progress of their campaigns, all showing positive results. 

The next item was the State Match - Update . Mr. Suduiko, Executive Director of the UMASS 
Foundation, gave a brief update on the latest figures. 

There being no further business to come before the Committee, the meeting adjourned at 3:50 p.m. 

r 



Barbara F. DeVico 

Secretary to the Board of Trustees 



-2- 



t 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE DEVELOPMENT COMMITTEE 

Thursday, November 13, 1997; 1:30 p.m. 

KnappRoom — *■ 

One Beacon Street - 26th Floor 
Boston, Massachusetts 

Committee Members : Chair Hoff; Vice Chair Mahoney; Trustees Berlandi, Dubilo and 
Tremblay 

Committee Members Absent : Trustees Fey, Foley, Kraft, Mihos and Naughton 

University Administration : Ms. Kirby, Vice President and General Counsel; Vice Presidents 
Julian and Lenhardt; Mr. Suduiko, Director, UMASS Foundation; Ms. Kephard, UMASS 
Amherst; Mr. Luck, UMASS Boston; Chancellor Cressy, Mr. Ramsbottom, UMASS Dartmouth; 
Vice Chancellor Sperounis; Mr. Rizzo, UMASS Lowell; Mr. Sherman, Mr. Courtney, UMASS 
Worcester 

Chair Hoff convened the meeting at 1:35 p.m. The first item for discussion was Gala Event 
1998. Planning . Chair Hoff asked Mr. Suduiko to chair a working group to work on this issue. 

Chair Hoff suggested having three alternatives for the President's Medal and should 
consider having the event duringihe same window as last year," and price structure as last year. 

Chair Hoff discussed the need to plan; Trustee Mahoney recommended creating another 
"inaugural" type event. Some ideas for the event were then discussed. 

Chair Hoff then requested Mr. Suduiko provide an Overview and the Goals for the 
Foundation . Mr. Suduiko listed the following: 

• successful fundraising year 

• mission and goals 

• 3 goals - corporate targets /planned giving/ alumni cultivation 

The Committee then approved the following list of members to the Foundation Board of 
Governors: 

James Karam, Michael Morris, Sue Reemer, Mary Reed, Frank Sousa, John Spinney. 

Under Campus Reports the Development Officers from each of the campuses updated the 
Committee with their latest fundraising efforts. The University of Massachusetts raised over 
$50M system wide last year. 

There being no further business to come before the Committee, the meeting was adjourned a t 
2:35 p.m. 



• 



Susan Kelly 

Assistant to the President 



f 









6 






# 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AD HOC COMMITTEE ON INVESTMENTS, COMMERCIAL VENTURES AND 

INTELLECTUAL PROPERTY 

Tuesday, March 11, 1997; 10:00 a.m. 

Knapp Room 

18 Tremont Street, Suite 800 

Boston, Massachusetts 

Committee and Committee Staff: Chair Karam; Trustee Haynes 

Committee Members Absent : Trustees Fey, Poduska and Spence 

University Administration : Vice Presidents Chmura and Lenhardt; Attorney Bench; Vice 
Chancellor Dars; Mr. Marquis, Assistant Vice President and Associate Treasurer; Mr. McGuirl, 
CVIP Executive Director 

Trustee Haynes convened the meeting at 10:07 a.m. Vice President Lenhardt reported that 
the Investment Committee had been expanded to include the activities of Commercial Ventures 
and Intellectual Property. He then updated the Committee on University Investments 
involving 1) Cash, 2) Equity, 3) UMASS Foundation and 4) Malpractice Trust. 

Vice President Lenhardt then asked Mr. Marquis to summarize the results of University 
investments. The University's Cash Portfolio, as of December 31st was $261 million. The 
portfolio has invested $226 million in fixed income securities and $35 million in equities. 

Mr. Marquis reported on the Portfolio Performance Highlights as of 12/31/96: 

Operating Cash 

•Fixed income was returning approximately 6.32% on a yield basis. 

•Total Equity - Current Year performance is above the benchmark composite while 
inception performance continues to trail. 

• Domestic Equity - Annual performance was slightly below the broad market resulting from 
the underperformance of Fidelity Blue Chip Growth Fund. 

•International Equity - Aggregate non-U. S. equity exceeds the benchmarks for all 
annualized periods. 

Mr. Marquis pointed out that the outstanding performance on the equity strategy has 
produced unrealized gains of approximately $5.6 million on the $35 million investment. The 
strategy has performed well to date. 

Performance highlights for the Foundation included: 



Ad Hoc Committee on Investments, Commercial Ventures 
and Intellectual Property 
March 11, 1997 



Foundation 



•Total Fund - The quarterly fund return outperformed the Actual Index. The one year fund 
return exceeds both the policy and Actual indices. 

• Domestic Equity - Trinity and Cadence have exceeded their benchmarks for the one and 
three year periods. The total segment has outperformed the broad market index for the 
last five years. 

• International Equity - Total segment performance has been disappointing for most time 
periods. Babson has performed for longer periods, while outperforming recently. GMO has 
trailed its benchmarks since inception. Emerging markets outperformed for the one year 
period, while matching the benchmark since inception. 

•Fixed Income - The fixed income segment has lagged its benchmark for all annual periods 
except one year and since inception. Global fixed income has outperformed domestic bonds 
over most annual periods. Putnam has trailed both asset classes since inception, although 
their one year performance was strong. 

Self Insurance Trust 

Mr. Marquis indicated that the performance information on the Trust was included in the 
committee packets. 

Vice President Lenhardt reported that Trustee Fey has requested that certain portfolio 
managers attend the next meeting. Vice President Lenhardt suggested Fidelity and GMO. 

Vice President Chmura then reported for Commercial Ventures and Intellectual Property 
and introduced Mr. McGuirl and Mr. Petrovic from Worcester and Lowell. He first reported that 
intellectual property can be considered a special kind of financial asset for the University, and 
that Chair Karam had suggested that this Committee oversee these efforts to maximize 
returns from these assets. 

Vice President Chmura then briefly highlighted his report from the February Committee 
of the Whole meeting: 

•A couple of years ago the Board made economic development /tech transfer a priority with 
the support of the President and the Chancellors. 

•A professional organization was put in place, some strategic investments were made, and a 
set of progressive new policies were adopted. 

Strategies used have included: 

•Establishment of a professional, system-wide network called the Office of Commercial 
Ventures and Intellectual Property (CVIP). 

•Providing resources through a first-ever patent fund. 

•Adoption of new policies which will manage conflicts of interest and outside activities. 

•Linking commercialization to R&D enhancement. 



( 



Ad Hoc Committee on Investments, Commercial Ventures 
and Intellectual Property 
March 11, 1997 



Vice President Chmura spoke briefly on the actual progress made from FY93 to FY97 and 
reviewed projected investments and returns from 1993 to 2001. We are now spending $2 million a 
year on CVIP activities. He reported that we will be coming to the Board in June to establish a 
CVIP trust fund. Then he introduced Mr. McGuirl to review a set of recent transactions. 

•Smith and Nephew Endoscopy 

—$2.0 MM Sponsored Research Yearly 
—17 Invention Disclosures to date 

• Antigen Express, Inc. 

-Up to 17% Equity Stake 
-2.0% to 6.0% Royalties 
-Over $100k SBIR Research 

•Metabolix, Inc. 

—22k shares, Upfront Fee, 4% Royalty 
— $300k Sponsored Research 

•Pasteur-Merieux DNA Vaccine 

~$475k Up front, $42MM in Payments 
-6.0% to 12% Royalties 
— $750k Sponsored Research 

•CompuMed /Lunar /Hologic 
~$70k Upfront Fee 
-0.5% to 5.0% Royalties 
— $200k Sponsored Research 

•ReproGenesis, Inc. 

~$100k Upfront, $2.3MM in Payments 

—4% Royalties 

— $850k Sponsored Research 

•Signal Pharmaceutical, Inc. 
-10k Shares, Upfront Fee 
— $500k in Payments, 1$ Royalties 

•Activated Cell Therapy, Inc. 

-Upfront Fee, 2% to 5% Royalties 
— $5 78k Sponsored Research 

There was then discussion regarding the subject of how money earned is distributed. 
System-wide policies for such activities have been developed to determine the allowable 
kinds of expenditures and what the charter and parameters of the trust fund will be. A system- 
wide CVIP Advisory Committee is now in place to review the performance of these activities. 

Mr. McGuirl then reported on some of the CVIP deals expected to emerge at the Amherst, 
Lowell and Worcester campuses. He also spoke of the CVIP Strategic Issues. The first was 
missed opportunities for the University: there are many technologies that need 6-18 months of 
development to gain commercial interest, and the more important technologies will be exported 
to other states and/or countries and the number of successful start-ups will be minimal. 



-3- 



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* 



I 



Ad Hoc Committee on Investments, Commercial Ventures 
and Intellectual Property 
March 11, 1997 

He further reported on some of the constraints we are experiencing including 
legal/administrative problems with trade secrets, commercial space on campus, bond 
convenants, a need to separate academic and commercial activities, a need for rapid turn- 
around time on commercial projects, and the lack of seed venture capital in this state. 

Mr. McGuirl then asked the Committee to consider a UMASS system-wide development 
corporation /research foundation, much like the Worcester CCC model, and to encourage 
development of new seed venture capital funds in the state. 

Chair Karam asked that these issues be brought back with a system-wide policy that 
allows the University to effectively reach out and inform Massachusetts companies of the 
availability of this research capacity so that jobs are created here. Trustee Haynes voiced his 
support for these endeavors and requested a future presentation outlining missed opportunities, 
and comparing models from other universities and their effectiveness. It was decided that some 
time would be scheduled to review a concise report on the opportunities, the options and the 
future recommendations. The Committee Chairs would review this report before coming back to 
the Committee. 

There being no further business to come before the Committee the meeting was adjourned at \ 
11:11 a.m. 



£WW^&^ 



Barbara F. DeVico 
Staff Assistant 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
SUBCOMMITTEE ON FINANCIAL INDICATORS 

Thursday, May 29, 1997; 11:00 a.m. r 

Board Room 
18 Tremont Street, Suite 800 
Boston, Massachusetts 

Committee Members : Chair Fey, Trustees Karam, Mihos and Naughton 

Committee Member Absent : Trustee O'Leary 

Other Trustees : Trustee Giblin 

University Administration : President Bulger; Vice President and General Counsel Kirby; Vice 
President Lenhardt, Chancellors Penney and Hogan; Deputy Chancellor MacCormack; Vice 
Chancellor Goodwin; Ms. Wanczyk, University Controller; Ms. Uber, Budget Director 

Chair Fey convened the meeting at 11:05 a.m. and called on Vice President Lenhardt who 
reported that this meeting is the first time the campuses will be asked to discuss their 
financial targets/indicators. Each of the Chancellors have been asked to report on their 
targets; today's meeting will focus on Boston and Lowell. 

Chancellor Penney reported for the Boston campus. Their financial indicators show the 
financial health and stability of the institution, a focus on the short term, some on the long 
term, and are used to look at the financial condition in relation to the past and the future. 
These indicators will help to set targets for the future and they help the campus relate to its 
peers. Some of the questions asked included: did we bring in more money than we spent, do we 
have reserve funds to cushion us for a rainy day, do we have enough cash to pay short term 
obligations, how much of our annual budget is used to pay long term debt and how large is or 
endowment base? 

Chancellor Penney then reviewed a series of charts she had distributed showing the 
campus' five-year targets. The Operating Margin target is 2.50% which is a reachable target. 
The Financial Cushion Target is 4.00%, the Current Ratio, 1.8 to 1, Debt Service to Operations is 
at 2.50% and Endowment Per Student is projected at $2000. The financial indicator trends show 
steady improvement and the projections are reasonable. 

A key issue' for the Boston campus is that they can build reserves from only one source of 
income. Grants and Contracts, the state maintenance appropriation and the state tuition 
revenue must be subtracted from the current funds revenues. The percent of total current funds 
revenue with capacity to generate fund balance is only 24.31%. 

With regards to peers, there is only one peer that is anything like the Boston campus, 
George Mason. 

Chancellor Hogan then presented the Lowell campus' financial outlook including: 

1. Enrollment projections for annual increases of less than 1% through the year 2004; 



Subcommittee on Financial Indicators 
May 29, 1997 

2. All collective bargaining salary increases provided by the state; 

3. The purchasing power of approximately $30,000,000 of non personnel funds in the "core" 
education budget protected from erosion due to inflation by an increase in the State 
appropriation, privately raised funds without a specifically designated use or earned 
income from such funds, an increase in student fees and no other increase in State 
appropriation. 

Chancellor Hogan then reviewed a chart of reallocated funds and "The Six Lowell Projects" 
including the updating of the library and new technology issues such as replacing equipment. 

Chancellor Hogan reported that the Lowell campus does not have meaningful data for peer 
comparison. A new set of proposed peers has been selected and there has been contact made 
with these institutions about obtaining the necessary financial information and data. 

Chair Karam and the Committee members then discussed the goals the financial indicators 
help to outline and the need to select peers that will help with setting reasonable goals and 
targets. 

Vice President Lenhardt reported that the meeting would report on the Financial 
Indicators for the Amherst and Dartmouth campuses. 

There being no further business the meeting was adjourned at 12:15 p.m. 

r 

Barbara F. DeVico 
Staff Assistant 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
SUB COMMITTEE ON FINANCIAL INDICATORS 

Wednesday, July 30, 1997; 11:00 a.m. 

Board Room 

18 Tremont Street 

Suite 800 

Boston, Massachusetts 

Committee and Committee Staff: Chair Fey; Chair Karam; Trustee Mihos 

Committee Members Absent : Trustees Naughton and O'Leary 

University Administration : Vice President Lenhardt; Mr. Marquis, Associate Treasurer; Ms. 
Wanczyk, University Controller; Ms. Uber, University Budget Director; Deputy Chancellor 
Stanton; Vice Chancellor Dars; Vice Chancellor Page; Ms. Hatch, Budget Director 

UMASS Amherst : Chancellor Scott 

UMASS Dartmouth : Chancellor Cressy 

Chair Fey convened the meeting at 11:00 a.m. Vice President Lenhardt reported that the 
University has spent four years developing a solid financial target program. The first item on 
the agenda was Campus Indicators. Projections and Targets, UMASS Dartmouth . Chancellor 
Cressy began his presentation by outlining trends and targets, assumptions and factors and 
stating that the Dartmouth campus, following the FY96 budget, needed to build a financial 
cushion and move forward paying off the debt accumulated by the early retirement program. 
The goal was an operating surplus of $400,000; the actual surplus is projected at $829,031. 

Chancellor Cressy then reported that the five year operating margin target was 2.04%. 
The peer average is 1.78%; as a result of the positive performance in FY97 the projections for 
FY2002 were revised. If the campus is able to maintain a $400,000 a year operating margin, the 
campus would be able to reach a 2.41% operating margin by 2002, compared to the earlier 
projection of 2.04%. 

Chair Karam inquired as to the peer average improving five years from now and where 
that will leave the Dartmouth campus. Vice President Lenhardt responded that we will be 
expected to assess this information on an annual basis and report back on the status. 

Chancellor Cressy reported on the current ratio. The five year target was 2.29, and the peer 
average is currently 2.22. Because of the improved operating margin in FY97, the projections 
through FY02 are above the peer averages (revised FY02 target is 2.63). 

Chancellor Cressy then reported on the five year target for debt service at 4.78%, peer 
average at 4.14%. FY02 debt service ratios were shown with and without the debt associated 
with Star Store and Charlton projects. The baseline debt service is projected at 4.78%. With 
Star Store, debt service would be 5.88%. 

Other targets included: the endowment per student (five year target is $1,299, peer average 
not available); the financial cushion (five year target is 1.54%, peer average at 13.92%). 



Sub Committee on Financial Indicators 
July 30, 1997 

Chancellor Cressy reported on the following assumptions used in projections: 

Revenues 

•State appropriation increase of 4.25% in FY98 and 3% going forward 

•Marine Science funding based on Trustee approved plan 

•Student Fee Match funding based on Trustee multi-year plan 

•Enrollment & related fees 2.5% growth through FY02 

•Grant income and federal financial aid, 9% growth 

• Other revenues, 2.7% growth (inflation) 

Expenditures 

•Payroll 3% to 4% growth, equal to collective bargaining costs 

•Non-wage expenditures 2.7% increase (inflationary) 

• Early retirement $3.1M reduction in payroll and 65 fewer faculty and staff (FY94 through 
FY01). 

Chancellor Cressy stressed the importance of the Marine Science Building and that there 
are already contract research inquiries. 

Chair Fey inquired about the difficulties encountered due to the administrative redesign 
process. Chancellor Cressy reported that there are too many programs due to the student 
population declining. Also, many of the programs are expensive to run such as affirmative 
action, audit, labor relations, etc. He also discussed the infrastructure and capital needs 
including maintenance, landscaping, dormitories, computers, roofs, ADA issues and general 
repairs. 

The early retirement obligation repayment plan is on track and the campus has developed 
the funding needed to keep the program moving; when that is paid off, that money can be 
moved to the financial cushion. 

Chair Karam suggested that the Dartmouth campus use other campus' services and that is 
one of the reasons the University is going through an administrative redesign process. He 
asked that the faculty/student ratio be studied very carefully. 

Chancellor Cressy concluded by reporting that the campus is and will remain financially 
sound. 

The next item on the agenda was Campus Indicators, Projections and Targets, UMASS 
Amherst . Chancellor Scott began by stating that the campus is financially sound and that the 
financial indicator targets are in the context of the five year strategic plan. Three of the 
targets are as good as national standards and two need to be worked on. A significant amount of 
reallocation and restructuring planning calls for total reallocation of $11 million. In addition to 
the $11 million, the campus will have another $10M over the five year period, from 
reallocation of 1% of the budget. Overall the reallocation amount is projected at $21M. 

Chancellor Scott reported that the lack of an endowment base is being worked on with an 
aggressive capital campaign and there is a commitment to self-fund an increase to the quasi- 
endowment each year. The campus trends have also shown improvement. 

Vice Chancellor Page then reported on the operating margin. The Amherst campus five- 
year operating margin target is 3.3% which is similar or higher than those averages for all 
years except FY93 and FY94. The average of eight of the peer institutions for FY94 and FY95 



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Sub Committee on Financial Indicators 
July 30, 1997 

was 2.9% and 3.5% respectively. The campus operating margin target for FY97 to FY2002 is to 
. realize an operating margin between 3% and 5% each year. 

The FY95 campus financial cushion was 9.9% compared to a peer average of 18%. These 
differences are due to several factors including: 

•before the establishment of the curriculum fee in FY92, the campus had limited resources 
that could be set aside for reserves, for plant funds, or for the creation of quasi-endowments; 

•peer institutions have had the ability to retain and carryover tuition for many years and 
many can carry over the state appropriation; 

• the campus' high level of unfunded liabilities; 

By FY2002 the financial cushion is targeted between 13.5% to 14.5%. 

Regarding the current ratio, Moody's and Dunn & Bradstreet show that a ratio of 2.0 or 
greater is healthy. The Amherst campus rate has exceeded 2.0 in the past three years, which 
indicates that the campus is comfortably solvent. The target is for greater than 2.0 each year. 

According to Moody's the median debt ratio for campuses similar in size is 3.4%. The 
Amherst peers averaged 2.6% in both FY94 and FY95, while the Amherst campus was 2.8% and 
2.7%. The Amherst campus recent FY95 debt service ratio of 2.7% slightly exceeds that of its 
peers but is still below Moody's median. 

In reference to endowment per student the Amherst campus' FY96 level of $1,200 FTE is 
below any industry standard or peer average, which reflects a history of dependence upon state 
^ funding. A target of $3,450 FTE student is expected by FTE2002. 

Chair Fey reiterated the importance of financial indicators guiding the campuses towards 
financial stability. Chair Karam then requested that future management reports highlight 
the effect on a financial indicator of the transfer of funds to reserves, etc. 

Chair Karam thanked the Chancellors and their staff members for the quality of the 
reports presented today. 

There being no further business to come before the Committee, the meeting was adjourned at 
12:20 p.m. 



Barbara F. DeVico 

Secretary to the Board of Trustees 



? 



UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

AD HOC COMMITTEE ON INVESTMENTS, COMMERCIAL VENTURES 

AND INTELLECTUAL PROPERTY 

Wednesday, July 30, 1997; 1:00 p.m. 

Board Room 

18 Tremont Street 

Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Fey; Trustee Haynes 

Committee Member Absent : Trustee Naughton 

Other Trustees : Trustee Tirrell 

University Administration : Vice President Lenhardt; Vice President Chmura; Mr. Marquis, 
Associate Treasurer; Ms. Wanczyk, University Controller; Deputy Chancellor Stanton; Mr. 
Suduika, Director, UMASS Foundation; Mr. Benson, Associate Vice Provost 

Guests : Mr. McCarron, Prime, Buchholz and Associates, Inc.; Mr. Kenly, Grantham, Mayo, Van 
Otterloo & Co.; Mr. Jacobson, Fidelity Investments 

Chair Fey convened the meeting at 12:45 p.m. Vice President Chmura gave an Update on 
Commercial Ventures and Intellectual Property . He first presented data on the historical and 
present performance numbers (see attached report) through March, 1997. He also reported on 
two new transactions with Zymed and CSPI Analytics during the last quarter. 

Vice President Chmura informed the Committee of the press conference held today with 
the President and the Chief of product development at Monsanto focused on health benefits of 
corn fiber oil. They have discovered a new way of using a different part of a kernel of corn 
extracting a cholesterol reproducing property. This could be developed into a dietary 
supplement food additive or pharmaceutical drug product. This is the first major license 
agreement for the Lowell campus and it has the potential to generate a lucrative revenue 
stream for the campus. 

Vice President Lenhardt then asked that everyone in the room introduce themselves. Due 
to the importance of issues facing this Committee, Chair Fey suggested adding members to this 
Committee from the Committee on Administration and Finance. 

The next item was a Performance Overview of Equity Structure from Prime, Buchholz and 
Associates presented by Mr. McCarron. He first distributed an Investment Performance 
Analysis for the period ending March 31, 1997. Mr. McCarron noted the positive performance of 
Cadence, TCW and GMO. He called the Committee's attention to the negative performance of 
the Fidelity Blue Chip Fund. He then reviewed the market environment for equities and fixed 
income securities. 

Mr. McCarron noted that the performance of the Fidelity Blue Chip Fund has been 
modestly better over the last year but has lagged the index by 6.6% for the one year time frame. 



c 



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f s - 



Sub Committee on Financial Indicators 
July 30, 1997 

Mr. Jacobson from Fidelity Investments then reported on the performances of the Blue Chip 
<^fe Fund as well as a discussion of the low inflationary environment and the ups and downs of 

corporate earnings. 

Following the presentation, Chair Fey expressed her concern over the underperformance of 
the Blue Chip Fund. Chair Fey indicated that the Fund was not being managed as a Pare Large 
Cup Fund. 

The Committee agreed to monitor the performances of the fund with a decision to change 
managers if the fund strayed from its focus as a large cap fund or if underperformance continued. 
The Committee agreed to review the performance at the next meeting of the Committee. 

Mr. Kenly from Grantham, Mayo, Van Otterloo & Co., then began his presentation by 
reviewing the international equity investment portfolios. Overall performance of GMO was 
positive to the EAFE Index for the one year period. Mr. Kenly discussed his firm's investment 
philosophy and disciplines. 

Following the presentation, the Committee thanked the firms for their comments and 
agreed they would continue to monitor the University's investments on a regular basis. 

There being no further business to come before the Committee, the meeting was adjourned at 
2:30 p.m. 



Barbara F. DeVico 

Secretary to the Board of Trustees 



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